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EVIDENCE OUTLINE
1. Why We Have Rules of Evidence and How they Work in Adversary System
1. Why Rules? (1)
1. Why Evidence Law At All?
1. Mistrust of juries
1. hearsay doctrine b/c we think lay jury can't evaluate out-of-court statements
2. rules governing character evidence assume juries place too much weight on such proof, or use punitively
2. serve substantive policies related to matter being litigated
1. i.e. rules that set and allocate burdens of persuasion are “substantive evidence law”, b/c outcome determinative as much as purely substantive principles
2. P has better chance if can prove case by “preponderance of the evidence” as opposed to “clear and convincing”
3. extrinsic substantive policies
1. rules seek to affect behavior or quality of life outside courtroom
1. i.e. spousal privileges aim to protect marriage
4. accurate fact-finding
1. rules governing authentication of documents try to ensure accuracy
5. pragmatic
1. Rules allow trial judge to control/confine dispute in order to control scope and duration of trials –
1. Rule 403 permits judge to exclude otherwise admissible evidence b/c it would take too much time and might confuse jury
2. Rule 611 – judge controls sequence of proof & examinations of witnesses
2. Why Rules Rather than Common Law? (2)
1. Accessibility, easily read, freely available (unlike common law rules that preceded)
2. FRE apply in fed courts in both civil and criminal cases, and usually whether federal or state law supplies rule of decision
1. Exception: in diversity cases where fed courts apply state substantive law, Rules require state evidence rules in limited (potentially outcome determinative) areas – presumptions, competency, and privileges [Erie issue]
2. What Happens At Trial (5)
1. Jury Selection – voir dire, preemptive challenges, challenges “for cause”
2. Opening Statement – party bearing burden of persuasion (plaintiff, prosecutor) goes 1st – during opening jury learns background facts about parties, humanizing, etc
3. Presentation of Proof – party tries to build own case, tear down oppt. Ordinarily burden of persuasion goes first.
1. Case-in-chief (P, then D)
1. examination
2. direct
3. after every direct, oppt gets change for XE
4. then “redirect”
5. “re XE”
6. etc
7. introduces tangible evidence (demonstrative evidence), real/original evid.
8. Demonstrative Evidence tangible evidence lawyer wants to show to jury to demonstrate something about case (can be real or not). I.e. picture of the intersection where the accident took place.
9. Real evidence demonstrative evid. related to the case. Can bring in part of the car with brake lining to show frayed, or K in a breach of K case.
2. Case-in-rebuttal (in-rejoinder) (P, then D)
3. further cases in rebuttal (rejoinder)
4. Trial Motions
1. when evidence in on both sides, party confident that reasonable person could only find in favor will make motion for judgment (P can't do in criminal)
2. consider everything in light of non-moving party
5. Closing Arguments
1. party w/ burden of persuasion can make two closing arguments, one before and one after adversary [basically, opens first, closes 1st and last]
6. Instructions
1. judge instructs jury on law, presumptions, so knows what required for any verdict
2. instructions explain applicable substantive principles; allocate/define bur of proof
3. parties draft instructions and submit to court, sometimes even before trial
1. curative instructions
2. to save verdict from later reversal on account of inevitable error
3. sometimes won't work; even bad b/c emphasize point asking jury to forget – party potentially hurt by evidence usually gets to choose
4. limiting instructions
5. obviate or minimize side effects of evidence – again, party who might be hurt by evidence gets to choose if wishes jury to be instructed
6. presumptions and formal inferences
7. in civil cases, presumption frequently requires jury to accept a fact as true if no counterproof adduced
8. other inferences tell jury must decide certain points before can consider certain evidenc
7. Deliberations
8. Verdict – usually general, sometimes in civil cases answers “interrogatories” w/ or w/out general verdict, w/ death penalty cases jury can retire 2nd time to decide punishment
9. juin criminal cases where jury returns not guilty, D released from custody
1. entry of judgment starts time for appeal, through pros usually can't appeal
10. appellate review
1. appellate review usually only at end of case, after final judgment
1. exception: interlocutory review in civil cases
2. finality principle applied to appellate review of evidence points
3. Making the Record
1. What Is the Record and How Is It Made? (15)
1. Official record of a trial comprises 5 kinds of material
1. pleadings: complaint, answer, 3rd party claims, counterclaims, etc
2. filed documents: motions, briefs, documents seeking/providing discovery
3. record of proceedings: verbatim memorial of what happened during trial
4. the exhibits: all physical exhibits offered during trial
5. docket entries: court's own “ledger” of the proceedings --
2. record usually not assembled until someone seeks review.
2. Beware the Pitfalls – What Not to Do (17)
1. echoing
2. overlapping
3. numbers, names, and big words
4. exhibits
5. pantomime, nonverbal cues, gesture, and internal reference
6. going “off the record”
7. sidebar conference
4. How Evidence is Admitted or Excluded (22)
1. Testimonial Proof – Direct Examination
1. Presentation of live testimony by witnesses –
1. bring out background info
2. lay the foundation for testimony to follow
3. ask substantive questions
2. Form of Questioning
1. direct examination must be non-leading questions
1. FRE 611(c): leading questions not permitted on direct. Leading questions permitted on XE, and w/ hostile witnesses (not party to suit, but hates you – D's sibling), adverse parties, and witnesses identified w/ adverse parties.
2. Generally leading questions are those w/ only one response, or suggest certain answer: “Isn't it a fact that . . .” “Did you not . . .”
3. “Pushing” witness bad b/c a)induce false memory; b)produce acquiescence; c)distract from important detail
2. Exception: issue isn’t really controverted; saves time; etc. E.g., asking at beginning of testimony, “you were standing on the corner on the morning in question, etc.”?
3. Leading questions usually permitted on XE
3. Upshot:
1. Jury is “fact finder.” Someone has responsibility to prove the facts (burden of proof – in crim, gov't; in civ, P). Will try to do so w/ evidence.
1. Opponent of “facts” will try to undermine credibility of the evidence introduced to prove “facts”
2. XE is way to undermine/weaken/etc opponent w/ burden of proof
3. also, introduce own evidence – don't have to if don't have burden, but might want to, b/c will help to
2. Testimonial Proof—XE (23)
1. direct always followed by XE; leading OK in XE
2. Scope Of Direct Rule—limited to matters explored on direct
1. rationale is minimize the interruption of the calling party's case caused by the opponent's XE
2. Critiques of S of D Rule: administration difficulties; impediment to the truth, Too flexible – depends on how scope/subject matter is defined [i.e. Havens]
3. Defenses of S of D Rule:
1. order of proof
2. special case of accused as witness: when accused testifies, can't use 5th Amend. as shield against self-incrimination, but “D determines the area of disclosure and thus the breadth of his waiver of the 5th” [but see Havens]
3. voucher principle: used to be that calling party “vouched” for witness and thus “bound by his testimony”. Now . .
4. FRE 607: credibility of a witness may be attacked by any party, including party calling the witness
5. striking a compromise (framers compromised between the scope-of-direct limit or wide-open cross)
4. Upshot: most states adhere to scope-of-direct
3. Real Evidence
1. Tangible things directly involved in transactions or events in litigation. Apart from writings, law of evidence usually doesn't require production of these items. Existence/nature can be established by testimonial account.
2. Proponent's task in getting them admitted is to lay necessary foundation – authentication
1. atty must lay groundwork to establish that the evidence is what it is claimed to be
2. If it’s fungible, show chain of possession
3. Implicit judgment that proponent need not show precautions against a switch in objects when authenticating witness says “yes, same gun”
4. if trial judge excludes evidence, still lodged with clerk and recorded. When admitted, renumbered as exhibit in evidence.
4. Demonstrative Evidence
1. Tangible proof that in some way makes graphic point to be proved.
2. Differs from real evidence in that created for illustrative purposes, for use at trial – i.e. diagrams, photographs, maps, models – no actual role in events.
3. Usually considered relevant and admitted
5. Writings
1. physical evidence that must be introduced at trial rather than proved by testimonial description. Frequently writings are real evidence
1. proponent must authenticate – in civil suits, parties usually authenticate by means of discovery or stipulations during pretrial.
2. Proponent must show that fall w/in a hearsay exception.
6. [KEEPING EVIDENCE OUT] The Objection
1. Why “objection!”
1. gives parties fair chance to make case, but not endless. Requiring objections helps limit risk of trials challenged afterwards.
2. Helps trial court figure out what's right – policing other side
3. help offering party cure any problem in proof on the spot
2. Rules of objection
1. timely – raised at earliest reasonable opportunity – b/t question and witness answer
1. if witness “jumps the gun,” i.e. answers before you object, can “motion to strike” [w/ obvious problem that jury already heard answer]
2. should include reason for objection (ground) – specific, not general
3. Substantive objections
1. rest on particular exclusionary principles in FRE, i.e. hearsay, privileges, and rules governing character evidence
4. Formal objections
1. focus on manner of questioning – speak to authority of judge to regulate presentation of proof (FRE 611)
2. “Asked and answered” -- objector accuses other lawyer of asking question over and over, can't press too hard
3. “Assumes facts not in evidence” -- can't impart information not supported by proof
4. “Argumentative” -- can't just want to contradict witness, or confront her w/ disbelief
5. “Compound” -- can't seek more than one answer, or suggest alternative responses while framed in way inviting yes-or-no
6. “Leading the witness” -- telling witness what to say
7. “Misleading” -- question misstates the evidence
8. “Speculation or conjecture” -- can't ask “what you would have done”
9. “Ambiguous, uncertain, and unintelligible” -- question can't be understood, or no possible answer
10. “Nonresponsive to the question”: witness answers a question that wasn't asked
5. The general objection: if overruled, doesn't preserve for review whatever point objector had in mind, but not useless. Buys lawyer time to think of the exact problem, If supported, will survive review if any grounds at all for objecting.
7. Motion in Limine (40)
1. Party anticipates that certain evidence will be offered that he wants to object to, or that item of proof he wants to introduce will meet objection --
1. he will get a ruling in advance – basically miniature hearing on intro of evidence
2. Motion in limine permits both parties to brief important evidence issue and present argument. Can isolate point, get carefully considered ruling.
3. Motion to suppress evidence in criminal trial is one instance of motion-in-limine, i.e. to exclude prior conviction otherwise offerable to prove “knowledge” under FRE 404(b)
8. The Offer of Proof
1. Lawyer faced w/ rule excluding evidence must make formal offer of proof, if wants to preserve point for later appellate review, which means demonstrating exactly what he'll introduce if permitted
1. FRE 103(a)(2): [In order to predicate error on a ruling which excludes evidence] substance of evidence must be made known to the court by offer.
2. Required for same reason as objections – get offering party fair opportunity, but not endless
1. enables objector to refine objections
2. assist trial judge to arrive at correct ruling
3. Goes into record
4. Party who wishes to exclude bears burden of raising the objection
9. Judicial “Mini-Hearings”
1. objections and offers of proof involve court and parties in “mini-hearings.” Judge's role is complicated, esp. in relation to jury.
2. FRE 104 Preliminary Issues in Evidence Rulings [describes functions of judge and jury]
1. FRE 104(a) (Court-determined issues) Questions of admissibility generally. Preliminary questions concerning the qualification of a person to be a witness, the existence of a privilege, or the admissibility of evidence shall be determined by the court, subject to the provisions of subdivision (b). In making its determination it is not bound by the rules of evidence except those with respect to privileges
1. Trial judge, not jury, decides most issues relating to admissibility, witness qualifications, privileges. Can use inadmissible evidence in this.
2. Also decides factual questions related to those issues
3. Ex: judge decides whether someone who made an out of court statement was “excited” for purposes of applying excited utterance exception to hearsay doctrine
4. Judges make “pragmatic relevancy” decisions – concerning admissibility or exclusion of otherwise relevant evidence
5. FRE 403 decisions, etc
6. Judges decide issues relating to impeachment of witnesses
7. Judges also decide preliminary hearsay issues – whether statement is or isn’t hearsay, whether an exception applies
8. Judge can consider inadmissible evidence in making these decisions
9. [Preliminary question determinations under 104(a) are not governed by the rules of evidence, except privileges. Implies that judge may consider matters that jury can't consider in deciding case on merits
10. Sometimes preferable hold minihearing away from jury, esp if resolving an admissibility question would expose jury to evidence whose admissibility is in issue or might otherwise raise prejudice or confusion concerns.
11. In general, burden of persuasion is on the proponent of the evidence
12. Exception: party claiming privilege by objecting to intro of “privileged” evidence has burden of establishing privilege protection
2. FRE 104(b). Relevancy Conditioned on Fact. When the relevancy of evidence depends upon the fulfillment of a condition of fact, the court shall admit it upon, or subject to, the introduction of evidence sufficient to supporting a finding of the fulfillment of the condition.
1. Conditional Relevance – relevance conditioned on fact, what happens when the relevance of a particular piece of evidence itself depends on a preliminary disputed fact or issue
2. Ex: If P offers evidence of a spoken statement to prove notice, admissibility depends on proving that statement was heard (hearing a fact upon which admissibility of statement depends).
3. Note “subject to” -- the evidence being questioned here could get into jury, and then “condition of fact” isn't introduced.
4. Questions of authentication – is the item what it is claimed to be?
5. Whether a W really has personal knowledge
6. Whether person making “dying declaration” knew he was dying
7. whether a party “adopted” statement by another
8. Whether a letter apparently from person is offered as his admission, probative value turns on whether he actually wrote it.
9. Whether a person heard a statement which supposedly provided him notice
3. Effect – getting evidence in under 104(b) seems to be a second best option to 104(a)
1. Evidence might not be independently strong enough to get in at the first pass, better to get it in under 104(b) then not at all, then need to prove the other conditional facts
2. Jury ultimately needs to decide whether the conditional fact is true before it can consider the evidence.
3. Role of judge in 104(b) conditional relevance situation:
4. Initial decision whether evidence is subject to 104(a) or 104(b) – whether it is an issue of relevance conditioned on fact at all
5. Screening function – whether evidence should go to jury on conditional basis, decide whether a reasonable juror could be satisfied that the evidence is relevant, once the other fact is proved
5. Consequences of Evidentiary Error
1. Three main cases of imperfection:
1. evidence rules slippery and complex –
1. uncertainty in application, etc. Thus no automatic reversal on evidence error -- reviewing court reverses only when errors seem to have made difference in results
2. evidence rules only vague standards
1. trial judges resolve fact issues, and remote reviewing court aren't there to evaluate
3. adversary system
1. trial conduct responsibility of litigants themselves, should be held to choices their lawyers made at trial
2. Appraising Error on the Merits
1. When to reverse
1. Evidence error must have affected a “substantial right”
1. FRE 103: “Error may not be predicted upon a ruling which admits or excludes evidence unless a substantial right of the party is affected . . .”
2. Error must have had some effect
1. reverse judgment only for error that “probably affected” the result
2. Kinds of Error
1. reversible – kind of mistake that probably did affect the judgment
2. harmless – kind of mistake that probably didn't affect the judgment
3. plain error – kind that, in estimation of reviewing court, warrants reversal even though appellant failed to object or otherwise preserve right at trial
1. maybe lower judgment has to be “miscarriage of justice”
4. constitutional – for criminal cases, which usually means allowing evidence that should have been excluded under Constitutional
1. 4th Amendment – search and seizure
2. 5th Amendment – privilege against self-incrimination
3. i.e. Miranda
4. 6th Amendment Confrontation Clause
5. accused must be allowed to XE witnesses against him
6. also sometimes when excludes evidence offered by D (Chambers v. Miss)
3. Distinguishing Harmless from Reversible Error
1. Question: “Whether evidence erroneously admitted probably affected outcome, or whether evidence erroneously excluded probably would have affected outcome.”
2. Many evidence errors, in isolation, look awful. But viewed together, harmful turns into bland
1. cumulative evidence: harmless b/c other E outweighed effect of error.
2. curative instructions: harmless b/c of instructions to the jury.
3. overwhelming evidence doctrine: harmless b/c other E is overwhelmingly in support of the judgment.
3. Appellate Deference:
1. Trial Judge has Broad Discretion:
1. Can exclude even relevant evidence if seems likely to prejudice or confuse jury
1. FRE 401 Relevant Evidence
2. “Relevant evidence" means evidence having any tendency to make the existence of any fact that is of consequence to the determination of the action more probable or less probable than it would be without the evidence
3. FRE 402:
4. All relevant evidence is admissible, except as otherwise provided by the Constitution, Act of Congress, by these rules, or by other rules prescribed by the Supreme Court pursuant to statutory authority. Evidence which is not relevant is not admissible.
5. FRE 403 Exclusion of Relevant Evidence
6. Although relevant, evidence may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or misleading the jury, or by considerations of undue delay, waste of time, or needless presentation of cumulative evidence
2. Can control manner and sequence of presenting evidence and questioning
1. FRE 611a Mode and Order of Interrogation
2. “The Court shall exercise reasonable control over the mode and order of interrogating witnesses and presenting evidence so as to 1)make the interrogation/presentation get to truth; 2)avoid wasting time; and 3)protect witness from harassment/embarrassment
3. Appellate decisions refer to broad discretion of trial judge – decision reviewable only for “abuse of discretion” / “clear error”.
4. Procedural Pitfalls and Adversarial Gambits
1. Failing to object or offer proof
1. failing to object waives right to claim error in admitting, and failing to offer proof waives right to claim error in excluding evidence.
2. In these cases, relief denied except for “plain error,” and review often limited b/c appellant failed to “preserve the point
3. in objecting and making offers of proof, can forfeit right to review is some part of proof in question doesn't fit the objection/offer
2. inviting error
1. counsel puts questions that invite otherwise excludable answers (questioner “invited” the error)
2. also if relies on (thus endorses) evidence offered by opponent that he might otherwise have succeeded in excluding
3. opening the door
1. party testifying on direct lies about blemish-free past. If you say false thing on stand, “opens the door” to XE.
6. Obtaining Review of Evidence Points
1. Appeal from Judgment
1. evidence rulings are like non-reviewable interlocutory order – so rulings admitting or excluding evidence, on witness examination, etc, usually only reviewed after judgment
2. Luce v. United States: In limine rulings under 609(a) not reversible on appeal (p. 89 outln)
2. Interlocutory Appeal
1. Exceptions to pattern of “appeal from judgment”
1. privilege rulings:
1. sometimes threshold q. is if person from whom info sought has been held in contempt – if not, no review
2. other approach asks whether non-disclosing person party to the action – if party, may be able to get review of privilege ruling only by suffering adverse ruling; if not, can get review on privilege issue w/o suffering a judgment
2. suppression rulings
1. in criminal cases, gov't can appeal from decision or order suppressing or excluding evidence before the verdict comes down.
2. RELEVANCE (p. 59)
1. Logical Relevance
1. Introduction:
1. RULES:
1. FRE 401 Definition of Relevant Evidence: relevant evidence is that tending to make more or less probable any material fact
1. facts that are important to determination of the action; facts that have to be proven beyond reasonable doubt in order to win
2. bar very low – q. is whether it's material (matters to the result in the case).
3. At common law, evidence relevant if tended to establish point for which offered, and material if point bore on issues in the case. Today, both ideas are w/in “relevance” (i.e. must be material to be relevant)
2. FRE 402: all relevant evidence admissible, except as otherwise provided by Const., statute, FRE, or other rules prescribed by SCOTUS.
3. FRE 403 Exclusion of Relevant Evidence for Prejudice: Trial judge can exclude even admissible evidence if value is outweighed by risk of prejudice, potential for confusion, misleading jury, or undue delay.
1. 401 sets very low bar, but 403 gives judges as gatekeeper power to refuse to let evidence be heard anyway
2. Judge has wide discretion in exercising 403 power, such that appellate court will uphold opposite rulings on same record by different judges.
3. Relevant evidence excluded is not on issue of credibility, not that judge doesn't believe it.
2. Generally:
1. relationally defined
2. direct and circumstantial
1. direct: evidence that, if believed, no inference is necessary b/t the evidence and an element of the offense. (“I saw John shoot Jill!”)
2. circumstantial: evidence that, even if fully believed, may fail to support point in question b/c alternative explanation seems as probable (“John told me he was going to shoot Jill.”) Not element of the offense – you need an inference to connect the circumstance to the offense
3. rationality: reason and logic; avoid intuition and emotion
2. Old Chief v. United States I (SCOTUS 1972, p. 62)
1. Facts: Old Chief is tried w/ a bunch of crimes, including felon possession of a firearm. Not every felony makes it illegal to have a firearm (predicate felony), but his [assault] was. Old Chief objects to having exact nature of previous conviction come out at trial (just wants to say “felony”), arguing irrelevant.
2. Issues:
1. Under 401, conviction has bearing on one of the elements – it establishes that he was convicted of a prior felony.
3. D argument: only fact of prior felony relevant under 401 – term “assault” needs redaction. Will stipulate to prior felony conviction not excluded from the definition of felony for purposes of this statute. [doesn't want jury to know about violent history]
4. P argument: There are felonies that don’t count for purposes of “felony possession” statute, so merely proving prior felony conviction doesn't establish proof for the crime. Could have been a felony that doesn't count as a “prior.” Also, idea that “can't stipulate way out of full weight of the evidence.”
5. Holding:
1. Evidence is definitely relevant b/c makes his “not allowed to have handgun” status more likely than would have been w/out evidence
2. Trial not a series of stipulations
1. Jury expects some meat. If the defendant is accused of having a gun, the jury wants the prosecutor to hold up the gun to make the gun real to them. Stipulation is “never mind what's behind that door”
3. Need for narrative richness.
1. Jury needs “persuasive power of concrete and particular” for comfort convicting. P needs to show story for guilty verdict morally reasonable. Also, particularity satisfies jury ideas about what proper proof is
4. Trial autonomy
1. Parties shouldn't be denied chosen method of proving case just because the other side says that they will stipulate to all the points they can’t avoid.
3. Shannon v. US (SCOTUS 1994, p. 68)
1. Facts: D wanted jury to know that he would be involuntarily committed if jury found “not guilty by reason of insanity,” to know that not guilty wouldn't mean going free.
2. Holding: Jury finds facts and decides guilt/innocence – no “consequences of the verdict” instruction. Don't get to hear about mandatory minimum sentences, etc.
4. Evidential Hypothesis:
1. Generally:
1. When evidence is challenged, proponent explains why proof relevant. Contains “general premise” (“People who plan to do something usually do. Therefore, it's relevant that he said was going to rob a bank.”
2. Deduction: categorical logic – man in film robbed bank, D is man in film, thus robbed bank
3. Induction: Generalization (people usually act on plans) serves as basis for inductive inference (thus, this person acted on plans).
5. Evidence as Threshold: Standard of Probative Worth
1. How strong must “tendency to prove material facts” be?
1. “makes point more probably true than not”?
1. No, b/c forces evidence to be not only relevant, but also sufficient – evidence offered piece by piece
2. “if suggested inference more probable than any other”
1. No, b/c would produce sliding scale where evidence more strictly scrutinized at beginning, when little known of facts, than at end, when probative worth clearer in light of that already presented
3. “more than minimal probative worth – legal relevancy”
4. “E relevant if makes point to be proved more probable than w/out evidence”
1. This is most lenient standard, favoring admissibility, adopted in FRE 401.
2. really doesn't answer q. of “how strong” -- just lets it all in.
2. Evidence of flight (PROBLEM 2-B)
1. usually admissible in criminal trials, but
2. doesn't create “presumption of guilt.” Bears generally on guilty, but can't be taken as proof of specific element of crime. May be reversible error to invite jury to consider flight as evidence of guilt.
3. Relevancy depends on idea that D knew under investigation, and inference becomes weaker as time b/t crime and “flight” increases (i.e. what if “flight” unclear?)
6. Problem of induction:
1. Inductive generalization – inquirer draws inference from sample of observed instances to conclude something about instance not observed (78)
1. inductive analogy
2. inductive inference to cause
3. inductive explanation
2. dilemma of inductive knowledge
3. defense of inductive knowledge
2. Pragmatic Relevance
1. Generally:
1. FRE 401 giveth, and FRE 403 taketh away.
2. State v. Chapple (AZ 1983, p. 83)
1. Facts: Chapple on trial for murder, question is whether he did it. Victim was shot in head and burned, and P shows gruesome photo of body even though cause of death not at issue.
2. Issue: whether the danger of unfair prejudice was so great that it was an abuse of discretion to admit the photographs despite their relevance (photos inflame jury?).
3. Holding: Danger of unfair prejudice so great that it was abuse of discretion for trial judge. Furthermore, the photographs weren't needed to prove controverted point. Matters illustrated by the photos were also shown by uncontradicted testimony – so admission had no value. Basically, 401/403 balancing test failed – shouldn't have let it in.
4. Rule: reasons for photos despite Chapple:
1. State v. Thomas says that useful to prove the corpus delicti, to identify victim, to show the nature and location of fatal injury, to help determine the degree of atrociousness of crime, to corroborate state witnesses, to illustrate/explain testimony, and to corroborate state’s theory of how/why the homicide committed.
3. Old Chief v. US II (SCOTUS 1997, p. 86)
1. Issue: Earlier decided that nature of prior felony was logically relevant. Now decide if pragmatically relevant – i.e., is there unfair prejudice under FRE 403?
2. Holding: Abuse of discretion to allow, given 403 balancing test.
1. danger of prejudice: Danger of “bad character” reasoning especially pronounced when the previous crime was a crime of violence and the defendant is on trial for a crime of violence. Jury might assume he did it before and thus did it again.
2. Low “persuasive” value: Arguments about adversarial need for narrative richness, evidentiary depth not applicable when we’re dealing with legal status. Name of prior conviction maybe technically relevant, but no detail not covered by stipulation.
1. This could even come back and bite gov't – say if talking about old, minor felony that qualifies anyway, jury might think stupid. In this case, gov't bears risk of jury nullification.
3. Footnote 7: Holding limited to cases involving proof of felon status. Otherwise, opinion could be relied upon for other decisions under FRE 403. Souter drops fn b/c 5-4, needs swing. Split shows justices hesitant to disturb, even on extreme facts.
3. Upshot:
1. Trial judges have enormous discretion to admit or exclude evidence. Decisions to be made instantly; if all were reviewed de novo, would be a lot of reversals. BUT -- error of law never reviewed under abuse of discretion standard, always de novo.
2. (91) Proffered stipulation means less need for evidence, so risk of prejudice more
3. Despite Chapple, photos sometimes admitted to demonstrate atrocity. But chance for exclusion grows when impact results from changed conditions (i.e. maggots).
4. Despite Old Chief, prior criminal acts sometimes very relevant – i.e. give motive to have stolen the car; D sold cocaine, so when possessed probably about to sell. BUT – exclude when risk of prejudice high, relevance attenuated (see p. 81 for uses)
4. Limited Admissibility:
1. FRE 105 Limited Admissibility: When evidence which is admissible as to one party or for one purpose but not admissible as to another party or for another purpose is admitted, the court, upon request, shall restrict evidence to proper scope and instruct jury accordingly.
2. Occurs when courts admit evidence w/ spillover effect, and objector gets limiting instruction
3. Balancing act b/t FRE 105 and FRE 403
5. Completeness and Context
1. Question: what happens w/ piece of evidence so connected to other evidence that could be distortion to consider one w/o other?
1. FRE 403: balance, and admit or exclude the whole
2. FRE 106 (Rule of Completeness): When a writing or recorded statement or part thereof is introduced by a party, an adverse party may require the introduction at that time of any other part or any other writing or recorded statement which ought in fairness to be considered contemporaneously with it.
1. Also serves as “rebuttal rule” authorizing adverse parties to answer incomplete presentation later in trial
2. can sometimes “trump” hearsay when necessary to provide context
6. Delay at Trial:
1. Trial judges can exclude even probative evidence when creates “undue delay” (FRE 403)
1. i.e. limit witnesses for any one point
2. cumulative evidence duplicative of that already presented
3. insist that trial continue once started; deny extra time to find witnesses/evidence
3. HEARSAY
1. What is Hearsay?
1. Underlying Theory: Risks and Safeguards
1. Hearsay: out of court statement offered to prove the matter asserted
1. i.e. Bystander comes into court and says, although I didn't see accident, my friend did, and he says the woman ran the red light
1. offers to prove what it asserts (woman ran red light)
2. and it is hearsay
2. if Bystander saw accident, not hearsay, b/c describing what knows and remembers – (but hearsay if says “I told X I saw her run the red light” b/c out of court statement)
2. FRE 800s (hearsay rules)
1. FRE 801
1. (a) “Statement”: (1) oral or written assertion or (2) nonverbal conduct of a person, if intended by the person as an assertion.
2. (b) “Declarant”: a person who makes a statement.
3. (c) “Hearsay”: (1) a statement, (2) other than one made by the declarant while testifying at the trial or hearing, offered in evidence (3) to prove the truth of the matter asserted.
4. Statement made by anyone out of trial, even if person is actually testifying, is hearsay if offered as proof of what it asserts
5. (d) “Not hearsay”: (1) Prior statement by witness, if offered under explicit circumstances and for specific reason; (2) admission by party opponent.
2. FRE 802: hearsay not admissible except as provided in FRE, by SCOTUS or statute
3. FRE 803: hearsay exceptions, availability of declarant immaterial
4. FRE 804: hearsay exceptions, declarant unavailable
5. FRE 805: hearsay w/in hearsay
6. FRE 806: attacking/supporting credibility of declarant
7. FRE 807: residual exception
3. Reasons to exclude hearsay:
1. absence of XE – out of court statements not subject to truth-testing technique
2. absence of demeanor evidence – out-of-court declarant not there, not trier lacks impressions and clues that voice, inflection, expression etc convey
3. absence of the oath—trier doesn't know that felt any obligation to tell the truth
4. hearsay risks
1. risk of misperception: fxn of sensory capacity; physical circumstance
2. risk of faulty memory: maybe didn't quite remember events describing
3. risk of ambiguity: (faulty narration) when talking casually outside court
4. concern about veracity: insincerity, lying – maybe declarant didn't like someone, and lied, or subconscious distortion
2. Closer Look at the Doctrine
1. What is a Statement?
1. Assertive conduct: FRE 801(a) includes as statement “nonverbal conduct, if intended by person as assertion: -- i.e. nodding, shaking head, pointing, etc,
2. Nonassertive conduct:
1. Wright v. Doe d. Tatham (Eng. 1837, p. 129):
1. Facts: Guy left all money to servant. Big issue is whether Marsden was competent when he made the will. Proponent of the will offers letters written to Marsden in a sophisticated way, implying he would understand
2. Holding: Non-assertive conduct can be hearsay. Letters are hearsay b/c imply a statement that Marsden is sound.
3. Upshot: Today we wouldn’t say that letter was meant to assert Marsden’s competence. Assertion would probable be admissible under 801 b/c predicate to writing letter is belief based on experience that Marsden competent. Writer had to make an assumption about this (issue at stake), but didn’t mean to communicate it to anybody. Thus veracity risks reduced and evidence would come in.
4. Judge look at goal of proponent of evidence. If goal is for jury to infer that Marsden was competent, he will make decision if that is what declarant meant to assert.
5. Will probably decide that letter did not directly mean to assert M's competence. Rather, jury will be asked to infer that from the letter.
6. Still relying on the perceptual ability of the declarant, but b/c not relying on their assertion or anything they wish to prove – under FRE, it's not within the definition of hearsay.
2. Cain v. George (5th Cir. 1969, p. 137)
1. Facts: Hotel owners want to introduce evidence of lack of complaints about the space heater to prove that it wasn’t the source of the gas that caused fire, but rather the clothes negligently put on top of heater by the customer.
2. Issue: Question of drawing an inference based on the credibility of the out of court silence.
3. Holding: Veracity risks very low. We don’t think that by failure to complain the people are making a statement.
4. Upshot: evidence of noncomplaint usually admitted over a hearsay objection.
3. Indirect hearsay:
1. United States v. Check (2d Cir. 1978, p. 140)
1. Facts: Spinelli, undercover cop, is investigating Check. Cali, informant, talked to Check and then reported to Spinelli. If Cali got on the witness stand, he could say that Check had tried to do drug deal w/ Spinelli through Cali, but Cali won't testify. So pros. has Spinelli testify to what he saw (Cali and Check talking) and then has Spinelli testify to his conversation w/ Cali, but only what Spinelli said and not what Cali said in return. He never said “and Cali said X,” but clearly suggested Cali's half of the conversation (the statements that were made out of court and were hearsay)
2. Holding: Using the non-hearsay half of the conversation to show what the unheard, out of court speaker must have been saying is hearsay, if offered to prove the truth of the out of court comments. You can't allow witnesses to act as a conduit to get in hearsay statements indirectly.
3. Out of court statements by witness are still hearsay. Witness can tell what he saw, but can’t testify to what he said out of court.
4. Jury will infer what Cali said. Although Spinelli is repeating what he told to Cali without telling what Cali said, the jury will infer from Spinelli’s part of the conversation what Cali said.
5. case in book to show you get hearsay in via this indirect way when inference that you want jury to draw is “what Cali said to Spinelli”
2. United States v. Sanchez (143): cop allowed to testify about what X said to him out of court, b/c not offered for its truth but rather as explanation for what cop did later
3. Commonwealth v. Farris (143): error to let cop say that when he arrived at scene, first thing he did was interrogate X, who “made a statement,” as a result of which “I arrested D”
1. Only relevant if you believe the implied assertion that the informant pointed the finger at the D. Same as if he’d just come out & said it.
4. Machines and Animals Speak (143)
1. Machines – the more mechanical, more likely to be “not hearsay”
1. When info provided by machines mostly mechanical measurement, hearsay concerns addressed by requiring proponent to show the machine and its functions are reliable, that it was correctly adjusted or calibrated (i.e. time shown based on a clock).
2. If machine requires human input (“we put the question in, and get screen read,” out-of-court statement of inputing person used for truth – won't allow
2. Animals
1. dog tracking evidence usually admitted as “not-hearsay” on issue of guilt or innocence (to identify D as the culprit), although generally insist that proof of dog tracking can be admitted as only “corroborative evidence” of guilt
2. “cows looking for calves” admitted
3. occasionally no -- “dogs and other dumb animals aren't witnesses”
2. When is a Statement NOT HEARSAY?
1. Generally:
1. Under FRE 801, out-of-court statement is hearsay when “offered to prove the truth of matter asserted.” OOC statement is not hearsay when used for other purposes.
2. If proponent offering words solely b/c said, must show why fact that said is relevant - - i.e., how the fact that the words were said increases or decreases a material fact
3. If words offered only b/c the fact that were said is relevant, there may be disagreement over whether or not actually said, but not truth of words themselves
1. Impeachment
2. impeachment by prior statement, when you offer prior statement not for its own truth, but b/c different from what someone's saying at trial
3. verbal acts
4. statement itself is the crime – i.e. w/ prostitution, “any way you like, baby.” Not offering statement to show prostitute really versatile, rather that she was soliciting.
5. Effect on listener or reader
6. he said “I'm from the gas company.” You're not offering statement to show he was from gas company, but rather to show you were reasonable in thinking he knew something about gas
7. verbal objects
8. question whether car involved in accident, and W testifies “the car that didn’t stop was green Ford with bumper sticker that said ‘No Nukes’.” Words on bumper sticker have logical significance independent of assertive quality b/c help identify vehicle involved in accident, and content of words doesn't matter (car with different bumper sticker would not fit the description). Verbal marker.
9. circumstantial evidence of state of mind
10. offer will to show her state of mind. From decision to make those statements in will, we can infer that she would not likely have given him money if she'd lived (?)
11. circumstantial evidence of memory or belief
12. Prob 3-I (“Papier Mache Man”): Is this hearsay problem when officer testifies to what Sharon said out of court? Why not? Not hearsay b/c not offered to prove the truth of what it asserts (room in which Sharon claims assaulted looked like this). Rather, offered as memory of X room and admissible to show Sharon's state of mind (i.e. her memory of being assaulted in a room that looked like X). Then shown by non-hearsay that D has room that looks like that.
2. FRE 801
1. 801(d)(1) Prior Statement by Testifying Witness (see p. 18)
1. The declarant testifies at the trial or hearing and is subject to cross-examination concerning the statement, and the statement is
2. (A) inconsistent with the declarant's testimony, and was given under oath subject to the penalty of perjury at a trial, hearing, or other proceeding, or in a deposition, or
3. (B) consistent with the declarant's testimony and is offered to rebut an express or implied charge against the declarant of recent fabrication or improper influence or motive, or
4. (C) identification of a person made after perceiving the person
3. 801(d)(2) Admission by Party Opponent
4. Non-assertive conduct under Rule 801
1. Non-assertive conduct is not hearsay – FRE rejects holding in Wright.
2. Under FRE 801, a statement is “an oral or written assertion or nonverbal statement IF intended by the person as a statement
3. non-assertive conduct is not hearsay.
1. Ex: truck driver pulled ahead into intersection, thus “saying” light was green without meaning to assert it. Could show evidence of conduct as proof light was green under non-assertive conduct.
5. Statements w/ Performative Aspects (“mixed acts and assertions”)
1. United States v. Singer (8th Cir. 1983, p. 166):
1. Facts: District Court admitted in evidence letter from landlord addressed to “Carlos Amaden” to show that Carlos lived at the address listed
2. Question: Is the letter hearsay? Aren't we using this “out of court statement” of landlord for the proof of what it says, i.e. “Carlos lives at X address”
3. Holding: Because mailing to that address is performative, shows he lives there separately from the words themselves.
4. Not an assertion, a performative act. Act of addressing letter doesn't mean to assert that Carlos lives at 600 Wiltshire. Rather, wants to achieve another goal (get apartment vacated so he can rent it out).
5. Not arguing that there was no assertive component at all, but that point of writing address was not to make assertion that a person of that name lived at that address but rather to accomplish the delivery of the letter to that place
6. Rely on “landlord’s behavior” in mailing letter rather than “implied truth of its written contents,” esp since letter was found at address.
7. Admitting the address doesn’t risk admission of a lie – address was correct since letter got there. Successful delivery serves as a proxy for the missing trial safeguards
8. mailing important b/c evicting tenant not just “talk,” also “action”
2. Examples:
1. Headley v. Tilghman (2d Cir 1995, p. 167): officers busted illegal drug operation and took incoming phone calls. Question: is it okay for officer who took calls to testify to what callers said as proof that people normally answering calls deal drugs. Holding: incoming calls as “mixed acts and assertions,” admissible b/c of performance aspects.
6. Lies (168)
1. Performative aspect of lying may justify admission to prove act of lying rather than truth of statement. Lying to accomplish something, not to assert truth.
2. Court said “lies not hearsay when not offered to prove the truth of anything, but rather to show that they're false.”
1. Prob. 3-K: she is Greg's wife, and lying to provide him a false alibi and mislead the cops. Why must she have done that? “Flight shows consciousness of guilt” = “disguise shows consciousness of guilt.” Inference is that she had understanding, explicit or implicit, with Greg.
7. Disclosure (170)
1. Prob. 3-L: your statement offered not for truth of what it said, not to say “I have this plane” but rather to show that you weren't hiding anything
4. HEARSAY EXCEPTIONS
1. Generally Under FRE
1. FRE 801(d)(1): prior statements by testifying witnesses (Not Hearsay)
2. FRE 801(d)(2): admissions by party opponent (Not Hearsay)
3. FRE 803: 24 “unrestricted” exceptions (hearsay exception)
4. FRE 804(b): declarant unavailable (hearsay exception)
2. FRE 801(d)(1) Prior Statement by Witness [Declarant Subjects to XE on Statement]
1. FRE 801(d)(1)(A) Prior Inconsistent Statement: inconsistent with the declarant's testimony, and was given under oath subject to the penalty of perjury at a trial, hearing, or other proceeding, or in a deposition
1. State v. Smith (WA Sup Ct 1982, p. 187):
1. Facts: Conlin was beaten by Smith, or at least this is what she told cops. She signed affidavit written in her own hand naming S as perp of assault. This is “stationhouse statement.” At trial, she changes the story. Prosecutor wants to use affidavit to support theory of case and thus introduce it as truth.
2. Holding: “other proceeding” will not always include or exclude such affidavits. Facts of each case must be analyzed w/ reliability as key. Here, okay,
3. no question statement was made since Conlin testified to making it
4. statement attested to before notary, under oath and subject to penalty for perjury.
5. Witness wrote statement in own words.
6. Note: in fed. system, stationhouse statement not admissible as “other proceeding”
2. Substantive loss of inconsistent statements: Memory Loss
1. “I Got Amnesia” (faked memory loss)
2. Claims doesn't remember event, or even the grand jury testimony
3. Courts have decided not going to tolerate this opportunistic behavior. If witness is unavailable b/c of feigned memory loss for XE on previous statement, then the prior statement is seen to be inconsistent w/ current testimony.
4. Real Memory Loss
5. United States v. Owens (SCOTUS 1988, p. 195): Witness is hit on the head, later IDs assailant while in hospital. At trial, remembers interview in hospital, but not the assault itself.
6. Holding: you can be “subject to cross examination” under FRE 801(d)(1)(C) even if no memory @ events makes you “unavailable” as a W under FRE 804.
7. Difference is remembering the “subject matter” under 804(a)(3) and remember giving testimony for 801(d)(1)(C)
2. FRE 801(d)(1)(B) Prior Consistent Statement: consistent with declarant's testimony and is offered to rebut an express or implied charge against declarant of recent fabrication or improper influence or motive
1. Generally:
1. declarant must subject to XE on prior statement (“prior statement by W”)
2. Only works if from before supposed “influence or motive” entered (Tome)
3. where applies, permits prior substantive use of prior consistent statement
4. could they also be used to rehab witness even if attacking party suggests something other than recent fabrication? (Breyer in Tome – maybe refute idea of memory loss, etc)
2. Tome v. United States (SCOTUS 1995, p. 199):
1. Facts: Sexual abuse case where child made statements to social workers and doctors. P wanted to call them to describe out of court statements by child, offering the statements for their truth. D says that the child is making this up because she doesn’t want to visit with father.
2. Question: The question, narrowly framed, is whether (d)(1)(B) requires that the prior consistent statement be pre-motive.
3. Majority holding:
4. To be admitted for truth a prior consistent statement must rebut an express or implied claim of improper motive or recent fabrication. The statement had to have been made BEFORE the motive arose.
5. Here, pros. hadn't established that child’s statements were made prior to time alleged motive (to live solely with her mother) arose
6. Breyer:
7. rejects majority idea that 801(d)(1)(B) requires statement be made before the time the motive arose. Literal language of rule doesn't contain pre-motive requirement; Breyer wouldn't read one in.
8. says that even post-motive statement can come in for truth under 801(d)(1)(B) if relevant, which might be if motive to fabricate was weaker when statement made than allegedly is in court.
9. Other uses:
10. majority doesn't say whether under FRE prior consistent statements not satisfying 801(d)(1)(B) may be admitted to rehabilitate, not their truth. Lower courts have allowed, as would Breyer.
11. Different potential readings
12. Broad: when using prior consistent statements to rebut claim of recent fabrication/improper influence: 1)statement must be pre-motive, 2)once you do that, statement can come in for its truth. That’s the only way you can use a prior consistent statement.
13. Most likely: If using statement for truth, must be pre-motive. If not pre-motive, may be able to use anyway – just not for truth. Narrow reading more likely – Tome not meant to forbid using just to show you said it before, just can't use post-motive statements for truth.
3. FRE 801(d)(1)(C) Prior Statement of Identification: previous statement not hearsay if the declarant testifies at the trial or hearing and is subject to cross-examination concerning the statement, and the statement is . . . (C) one of identification of a person made after perceiving the person
1. should out of court statement of ID be admitted as proof of what it asserts?
2. Meant to give State ability to introduce out-of-court statement by identifier, usually visual (point out of line-up) or auditory (recognizes voice?). All that's required is that witness be at trial for XE on prior statement of ID
1. Witness identified person before, in line-up, photo display, etc -- SCOTUS decided these require proper police procedure (Wade-Gilbert doctrine).
2. and then picks him out again at trial – long history in crim trials, but can be wrong – people under stress at time of ID, hard to remember afterwards
3. risk of ID error – gov't knows if they wait too long to have trial, witness will just pick person next to D lawyer
3. State v. Motta (HI 1983, p. 211):
1. Facts: Witness described guy who robbed coffeehouse and a police sketch was drawn based on her description. After the sketch was finished, she picked Motta from photo lineup of 25 people. At trial, she confirmed prior IDs and pointed out D as person who robbed her.
2. Question: What sort of prior identification can come in under this rule? Is “identifying” someone in composite sketch okay?
3. Holding: Properly admitted into evidence under FRE 801(d)(1)(C), b/c a) she's there to testify at trial and be XEd on her ID; and b) statement is one of identification of person made after perceiving him.
4. Upshot:
5. May go past visual identifications? Could it be someone’s voice? There doesn’t seem to be a reason why not (215)
6. What about non-face appearance? For example, the witness didn’t see the face but saw the clothing. There are at least one or two cases that say yes, it fits within the identification exception.
7. Also, imagine you point out the guy to Bystander B at the time. In this case, if Bystander B can testify that guy's the one you “verbally marked,” it's okay if you can no longer recognize him.
3. FRE 801(d)(2) Exceptions. Admission by Party Opponent
1. Generally
1. Admissions is any statement party ever made out of court that is relevant for use against the party. No requirement of “against interest.”
2. Also makes no difference what form the statement takes – spoken, written , nonverbal (as long as it satisfies requirements as an intentional assertion)
3. Why is this not hearsay?
1. Hearsay doctrine designed to protect parties against un-XEd statements, but party can't complain about not having chance to XE himself. Also admissions are kind of conduct, essentially behavior of party that provide circumstantial evidence of what they assert.
2. Also, not binding, party can take conflicting position at trial
3. No requirement of “under oath” if inconsistent, unlike 801(d)(1)(A).
2. FRE 801(d)(2)(A) Individual Admissions: Statement is not hearsay if it is offered against a party and is (A) the party's own statement, in either an individual or a representative capacity
1. Generally:
1. Remember no “against-interest” requirement (that's a separate hearsay exception under 804(b)(3))
2. For civil, no matter if drunk or even in the hospital on verge of death (220) but has to be “capable of making a rational admission,” i.e. not in a coma.
3. NOTE: In criminal trials, involuntary confessions excluded under 5th amendment. So this is different [SEE impeach criminal D, 84]
4. If D has said he's been hallucinating, and confessed after Miranda b/c hearing voice of god, that's admissible
5. Confessions to police by severely wounded or incapacitated criminal Ds not admitted.
6. Talking in sleep not admitted.
7. Doesn't matter if declarant minor at time of “admission.”
8. Prior Guilty Pleas
9. Generally guilty pleas to criminal charges are admissible in later civil suit arising from same incident.
10. Traffic: In some states, pleas of guilty to traffic infractions not admission of fault; also, many states say that “conviction” for traffic infraction inadmissible in civil suit for damages. Under fed system, this might not be the case (224)
2. Bruton v. United States (SCOTUS 1968, p. 224)
1. Facts: Two guys were on trial for robbery – Evans and Bruton. Evans made a statement, “Bruton and I did it.” This is admission, and gov't can use it to prove his guilt. Everyone agrees that the statement is not admissible against Bruton.
2. Question: When confession is admitted as evidence against Evans, is a limiting instruction saying “this confession is hearsay against Bruton, and may not be considered against him” sufficient to protect Bruton from having the jury consider the statement against him?
3. Holding:
4. Violation of Confrontation Clause to use the “party admissions” doctrine to admit statements by one defendant that incriminate others by name or obvious reference.
5. Encroachment on right to confrontation can't be avoiding by limiting instruction to jury to disregard this inadmissible hearsay. Can't wipe evidence from their minds.
6. Alternatives:
7. separate trials: “Benefits of joint proceedings should not be sacrificed by requiring separate trials in order to use admissions. Joint trials conserve funds, diminish inconvenience to witnesses, and avoid delays (dissent worry). BUT – if you railroad over Confrontation Clause, the price is too high (227)
8. Redact the statement so the reference to Bruton is eliminated. Deletions can be ineffective when asking a witness to redact orally. An intentional or accidental slip could not be remedied (226). Gray v. Maryland, 1998 (p. 773): Supreme Court held that redaction substituting an empty space or blank for an apparent reference to a codefendant was insufficient
9. Give up the statement if you have a good case
10. Two juries; one trial. When the evidence against Evans comes in, the Bruton jury is out of the room and doesn’t hear it.
11. Upshot:
12. Bruton only deals w/ “spillover” criminal cases b/c confrontation right applies only in criminal. Civil D has no constitutional claim.
13. Not repudiation of limiting instructions, rather makes into test of risk of jury prejudice. Question of judgment for trial judge – i.e. are there alternatives that recognize state’s interest and protect Bruton?
14. Today, violations of Bruton doctrine frequently considered constitutionally harmless (229).
15. Cruz v. New York (SCOTUS 1987, p. 229): when co-Ds have made interlocking confessions, D has Bruton objection if named in confession by co-D C and confession is offered against D at trial. “A co-D's confession is enormously damaging if it confirms D's own confession.
3. FRE 801(d)(2)(B) Adoptive Admission. Statement not hearsay if offered against a party and is (B) a statement of which the party has manifested an adoption or belief in its truth
1. Generally
1. Can adopt by verbal agreement, conduct, silence
2. Adoption clear if party agrees to or concurs in an oral statement by another, or hears and repeats it, or reads and signs a statement prepared by another.
3. If party acts in compliance with a statement by another, such action can indicate adoption and may be a clear indication of adoption.
4. NO adoption if party diagrees with a statement spoken in his presence, although disavowing statement previously adopted does not remove it from the category of an adoptive admission.
5. Form of adoption: What counts?
6. Written statements - use of a written statement prepared by another or response/nonresponse to a written statement prepared by another can indicate adoption of the statement. Nonresponse is insufficient to show that recipient of a letter or other document adopted its contents.
7. Hearing oral statements - turns on whether party replied or spoke or acted in a manner showing agreement or, if she stood silent, whether circumstances suggest that silences conveys agreement.
2. United States v. Hoosier (6th Cir. 1976, p. 230)
1. Facts: Hoosier convicted of robbery. Q. is if silence when his girlfriend discussed “sacks of money” in hotel room was equivalent to endorsing it.
2. Holding: Girlfriend’s statement would clearly have been hearsay if offered against her, but admissible as an admission by party opponent. He was there, heard the statement and understood, prob could have been expected to say something if he disagreed, but didn’t – thus accepted as an adoption.
3. Doyle v. Ohio (SCOTUS 1976, p. 233)
1. Facts: Doyle and his co-D said they weren't selling drugs – the informant was the seller and they were the buyers. Pros tries to impeach based on their failure to raise this defense on the spot, after being read Miranda rights.
2. D – you told us on arrest that anything we said could be used against us. So we said nothing. Now you're saying that if we don't say something it can be used against us. This violates due process.
3. Holding: After you tell someone they have the right to remain silent, it is unfair to use their post-warning silence for impeachment purposes. Warning makes silence “insolubly ambiguous.”
4. Dissent (Stevens): Should permit for impeachment but not substantive (said nothing, so he did it). 5th Amendment right waived by decision to testify.
5. RULE: Post-arrest, post-Miranda failure to offer exculpatory explanation in response to official questioning may not be used to impeach when D offers an exculpatory explanation at trial
6. Arrest Silence and Miranda [see also impeachment of D, p. 84]
7. Doyle says can't use post-arrest, pre-Miranda. But this has been limited on its facts
8. Jenkins v. Anderson (SCOTUS 1980, p. 237): pre-arrest silence (no Miranda warning) may be used to impeach. It's the Miranda warning itself that makes into violation of 5th to use silence to impeach, since would be saying both silence and speech can be used against you.
9. Fletcher v. Weir: post-arrest silence, pre-Miranda silence can be used to impeach. Problem with Fletcher – may encourage the delay of interrogation after arrest in order to get people to talk…
10. BUT Griffen v. CA: commenting on failure of D to stand stand violates 5th Amendment. Why different from Jenkins and Fletcher? B/c this seems to violate freedom from self-incrimination.
11. Upshot (238) is that Miranda rights can be gotten around by 1)jail cell questioning by undercover agent; 2)if they don't Mirandize you or ask you questions, police can stick around and record your conversations openly w/out violation, etc.
4. FRE 801(d)(2)(C) Admissions by Speaking Agents. Statement is not hearsay if if it is offered against a party and is (C) a statement by a person authorized by the party to make a statement concerning the subject.
1. Generally:
1. Admissions doctrine defines situations in which statement by one person viewed as admission by another (like agency law). Basically, when A hires B to speak for him, it's fair to allow words of B to establish facts at trial against A. Attributable vicariously to client, basically.
2. Common law rule says that if you appoint somebody to speak for you and that person makes a public statement, it’s your statement. You can be biological persons or corporation. You don’t even need to make that appointment explicit – people within an institution are given authority by the institution.
3. Speaking Agents can be
4. PR person
5. high officials
6. lawyers and other agents (broker selling property, etc)
7. others specifically designated
8. Distinguish agent's words that have independent legal significance
9. i.e., if broker's words make a K, could be admitted as “verbal act” for purpose of showing the object involved in deal. BUT – to use for substantive purpose of showing X happened, would have to be party admissions doctrine.
10. Sometimes
11. Pleadings generally admissible against party who filed them but only for purpose of instant action and not in any other proceeding.
12. W/in pleadings, though, judicial admission (“we don't deny that Jones was driving car w/in scope of employment”) becomes incontrovertible and can't deny in scope of litigation.
5. FRE 801(d)(2)(D) Admissions by Employees and Agents. Statement is not hearsay if if it is offered against a party and is (D)a statement by the party's agent or servant concerning a matter within the scope of the agency or employment, made during the existence of the relationship
1. Generally
1. Foundation is agent speaking within the scope of the agency. When a employer is legally liable for tort committed by employee in course of duties, unfair to be evidentially immune from admission.
2. Traditionally statements made by public employees not admissible against the gov't (agents cannot bind the sovereign). Today, can sue city under Sec. 1983, but only liable for acts by agents pursuant to policy and not on respondeat superior. Modern tendency is towards greater admissibility.
2. Mahlandt v. Wild Canid Survival and Research Center (8th Cir. 1978) (p. 243)
1. Facts: Mr. Poos was keeping Sophie the wolf at his home. He comes home to find that child had been injured. Either Sophie attacked Daniel, or Daniel hurt while climbing under fence and Sophie just licking his face. Poos was not there, and heard information from others who were unaffiliated with the defendant entity. P appeals the exclusion of three statements by Poos.
2. Question:
3. Can note left by Poos on boss' door saying “Sophie bit a child that came in our back yard” be admitted under 801(d)(2)(D)?
4. Can statement by Poos to boss later same day that “Sophie bit a child” be admitted?
5. Can minutes of Wild Canid Surivval Directors Meeting reflecting legal discussion of “bite” be admitted? Poos wasn't there.
6. Holding:
7. first 2 statements should have been admitted, since lack of knowledge isn't a reason for non-admission. He can get on witness stand and explain why shouldn't credit statement.
8. 3rd shouldn't. It is admissible against the center but not against Poos. Center's statements to itself not admissible against agent – the board is not Poos’ agent, even though Poos is its agent. The agency relationship does not work the other way around.
3. Pekelis v. TransContinental (2d. Cir. 1951, p. 248): Committee recommendations admissions of company are admissible in civil suit by survivor of the accident.
4. Cedeck v. Hamiltonian Federal Savings and Loan (8th Cir. 1977):
1. Facts: woman employed by bank alleged sex discrimination, gives evidence that the branch manager told her that he had been told that she could not become a branch manager unless “she’s flatchested and wears pants.”
2. Holding: Evidence properly excluded b/c it is “hearsay within hearsay.”
3. Upshot: It is analytically different from Mahlandt, because Poos endorsed the statements by others. BUT -- move toward admission. Although here the court excluded it, they might not today.
5. Problem 4-G: “I Was On an Errand for My Boss!” (p. 248)
1. Is this bootstrapping to consider statement itself as evidence of agency relationship? Can Rogers’ statement of the agency relationship and what he was doing when the accident occurred (scope) be admitted against his employer to prove what it says or is this bootstrapping?
2. FRE 801(d)(2) “The contents of the statement shall be considered but are not alone sufficient to establish the declarant's authority under subdivision (C), the agency or employment relationship and scope thereof under subdivision (D)….”
3. We have to prove the agency relationship and scope to admit the statement but are we using the statement to prove agency and scope? Avoid circularity by dividing responsibility between judge and jury
4. Judge decides admissibility under 104(a). As 801(d)(2) after Bourjaily, judge can look at statement whose admissibility at issue to determine whether predicate conditions are satisfied. Burden of proof: preponderance of the evidence (lowest burden).
5. BUT FRE 104(b) – if relevance depends on existence of a fact, court admits upon or subject to introduction of evidence sufficient to support finding of fulfillment of the condition
6. Risk 1: Judge finds no agency but jury, based on other evidence, does. But the jury, not having heard the admission of negligence (because the judge did not allow it), then finds for Farmright where it might have found for Story if it had heard the admission of negligence
7. Risk 2: Judge finds an agency and admits the statement. Jury finds no agency, disagreeing with the judge
8. Upshot: We can have these inconsistencies b/c judge & jury making their decisions for different reasons – admissibility vs. liability
6. FRE(d)(2)(E) Coconspirator Statements. Statement is not hearsay if if it is offered against a party and is (E)a statement by a co-conspirator of a party during the course and in furtherance of the conspiracy . . . .
1. Generally
1. Basic requirements (meant to assure us that some reliability to statement – there is purpose (furtherance) not just casual talk)
2. co-venturer: D knew of the venture AND intended to associate with it. Neither knowledge nor association alone is sufficient [but unclear if declarant needs personal knowledge]
3. pendency (during the course): statements made after main objective of a conspiracy accomplished or thwarted do not fit the exception. Not okay if made during concealment phase (Krulewitch, p. 264). Statements made postconspiracy can be used only if they further the main criminal objective.
4. Furtherance: statements generally satisfy the requirement if they try to get transactions started, describe past occurrences to other members in order to map out future strategy, or simply to keep them current on the progress and problems of the venture.
5. available in civil and criminal, even w/o charges of conspiracy. Allows A to introduce against B statements made by persons conspiring w/ B.
6. Conspiracy prosecutions
7. Conspiracy is great for pros. Advantage in selecting venue, allows him to join multiple Ds, provides possibility of conviction even if “substantive” counts fail, useful evidentiary (“only slight”) rules.
8. Applying the Exception:
9. proof of conspiracy generally circumstantial, diffuse.
10. Coventurer problem is difficult b/t both predicate fact and element of the crime, ultimate issue for jury.
11. Finally, frequently statement themselves assert declarant and D conspired, which raises q. of bootstrapping since statement asserts very fact admissibility depends on.
12. To find “existence of the conspiracy” implies identifying its scope, which in turn allows determination of whether a statement was in the course and furtherance of it
2. United States v. Inadi (SCOTUS 1986, p. 251):
1. Holding: Admission of a coconspirator declaration without presenting the declarant does NOT violate Confrontation clause (might have changed after Crawford – if testimonial, either “unavailable” or you present them) (p. 57)
2. Why?
3. “Co-con statements made while conspiracy in progress, statements provide evidence of context that can't be replicated later. Positions of parties will have changed, co-con no longer partners, now coDs w/ info potentially damaging to the other.”
4. NOTE
5. conversations in Inadi have non-hearsay use as verbal acts (fact that had such a conversation shows conspiracy in action). But also has hearsay significance b/c tends to implicate Inadi in the conspiracy.
3. Bourjaily v. United States (SCOTUS 1987, p. 252)
1. Facts: Greathouse is informant, selling coke to B through Lonardo. Evidentiary prob for gov't, b/c Greathouse can't testify to convo w/ B. Various things support idea that B there to pick up drugs, not other stuff. Gov't must prove BRD that Bourjaily conspired to buy cocaine and possessed coke w/ intent to distribute. To prove that it wishes to use Lonardo’s statements to informant Greathouse incriminating Bourjaily.
2. Question: Can statement admitted under co-con exception itself provide evidence that person was co-con? Bootstrapping? Confr. Clause? Bruton?
3. 6th Amendment: “In all criminal prosecutions, the accused shall enjoy the right … to be confronted with the witnesses against him; to have compulsory process for obtaining witnesses in his favor....”
4. Holding:
5. FRE 802 “contents of the statement shall be considered but are not alone sufficient.” Statement can bootstrap itself, but not entirely.
6. Judge has threshold responsibility under 104(a) to decide if admissible. Burden of proof under 104(a) is preponderance of the evidence (minimum burden of proof, much less than “reasonable doubt”). Judge makes credibility determination, and jury never learns about debate.
7. Dissent (Blackmun): requirement conspiracy be established by other evidence contributes to reliability (258). A statement cannot be admitted until independent evidence shows D to be member of existing conspiracy.
8. Upshot
9. departure from previous idea that statement can't be foundation for deciding on admissibility of statement
10. Today: BOOTSTRAP, BUT SOME INDEPENDENT E. If you find agency relationship proven by preponderance, then and only then can you consider statements as evidence of conspiracy.
11. Bourjaily v. earlier Apollo approach (261)
12. Apollo indicates co-con statements to be considered under 104(b) conditional relevancy rather than 104(a) admissibility. This throws the issue to the jury, telling them to consider co-con statement as evidence against D only if they found declarant and D conspired. Problem: jury could convict on basis of statement even though judge thinks it's hearsay.
13. Bourjaily assumes co-con statements admitted only when proof of conspiracy is substantial. Problem: more likely to throw it to jury w/ instructions to disregard if necessary.
4. FRE 803 Unrestricted Exceptions
1. Generally
1. Hearsay dangers: Opponent is unable to cross-examine the declarant whose statement is admitted for its truth to test;
1. Veracity
2. Ambiguity
3. Memory
4. Perception
2. Further, the statement may not have been made under oath and the trier of fact will not be able to witness demeanor
3. Most general hearsay exceptions under FRE 803 (all but 803(5) statements of past recollection and 803(18)) apply regardless of declarant's availability as a witness.
4. FRE 803(1) – (3) fit into old res gestae (things that happen) notion that relationship b/t statement and event so close that happening actually impelled words.
2. FRE 803(1) Present Sense Impression: A statement describing or explaining an event or condition made while the declarant was perceiving the event or condition, or immediately thereafter.
1. Generally:
1. Main issue is IMMEDIACY. Almost always non-test under Crawford.
2. Why trustworthy?
3. Immediacy removes the risk of lack of memory, or at least reduces it to a negligible possibility
4. Immediacy precludes time for reflection, eliminating or sharply diminishing the possibility of intentional deception (veracity issue)
5. The danger of misperception, however, still exists.
6. When used?
7. Primarily when statement is contemporaneous to event but nothing startling happened
8. Modern cases approve use of the exception to admit 911 calls reporting crimes or emergencies – but see Davis
9. Usually the testifying witness has seen (and can corroborate) whatever's described in present sense impression (i.e. Nuttall, where she heard conversation and later heard husband talk about it).
2. Main requirements
1. Statement must be contemporaneous with the event or condition—made while the speaker perceives it or immediately thereafter.
2. Exception has flexibility to reach statements made moment after the fact where small delay or “slight lapse” not enough for reflection
3. Reflection time raises doubts about trustworthiness since could also be time for fabrication – or does it detract from reliability?
4. Speaker must have personally perceived the event or condition.
5. Usually means seeing, but also reaches hearing and other forms of sensory perception (Nuttall) and even written (US v. Ferber, p. 271: email recounting telephone conversation and prepared shortly afterwards).
6. The statement must describe or explain the event or condition.
7. Not just relate to as in 803(2)
3. Nuttall v. Reading Co. (3d Cir. 1956, p. 267)
1. Facts: Widow claims that boss pressured decedent into coming to work even though he tried to call in sick, and then he died later that day. Boss is dead, and Mr. Nuttall dead, so P wants the jury to infer pressure from Nuttall’s end of the conversation and his statement immediately afterward that the boss told him to come in. If boss was pressing him to come to work despite illness, he might be at fault for his death.
2. Holding: Allows in evidence of Mrs. Nuttall's impression of husband's description of the statements of his boss during and right after conversation. These characterizations, since made “substantially at the time of the event perceived, have no risk of memory lapse and lessened risk of misrepresentation” (269).
4. Upshot:
1. US v. Portsmouth Paving Corp (4th Cir 1982, p. 270): caller tells bystander what party on telephone said; immediacy requirement met b/c comment few seconds after call.
2. US v. Early (8th Cir. 1981, p. 270): Girl hangs up, says “that sounded just like Butch.” Admitted mother's evidence of this present sense impression.
3. State v. Salgado (NM 1999, p. 270): Guy says “hey Timo, what's up” right before getting shot. Hearer allowed to testify to this, helping to ID crim D.
4. What if there's no witness to whatever described in present sense impression?
5. Booth v. State (271): in some instances the content of the statement may be sufficient
6. US v. Narciso (271): Guy had heart attack at 4:30 writes note at 6:30 purporting to ID who gave him poison. Present sense ID? No, b/c far from time of injection. Testimonial under Crawford.
3. FRE 801(2) Excited Utterances. A statement relating to a startling event or condition made while the declarant was under the stress of excitement caused by the event or condition.
1. Generally:
1. Main issue is EXCITEMENT. Although related to present sense impression, no temporal requirement, since something else could reawaken stress of moment.
2. Why trustworthy?
3. stimulus leaves the speaker momentarily incapable of fabrication
4. The speaker's memory is fresh because the impression has not yet passed from her mind
5. But --
6. Risk of inaccuracy, exaggeration, distortion due to excitement. However, question of weight to be argued before the jury.
7. When used?
8. Cases of violent criminal assault, where statements by the victim implicating the accused are routinely admitted
9. Accident cases resulting in physical injury, where statements by the injured party describing the event are usually admitted
10. Sexual abuse of children, where comments by the child describing acts and identifying the perpetrator are often admitted
11. Modern cases approve use of exception for 911 call, usually proved by recordings that satisfy the public records exception.
2. Main requirements:
1. excitement
2. subjective standard -- what counts is that the speaker was excited, and if another might not have been doesn't matter. Court assumes the speaker’s reactions resemble those that others of similar background would experience in similar circumstance.
3. Factors that may indicate excitement or lack of it include a) nature and characteristics of the event; b) appearance, behavior, age or condition of the speaker; c) nature or contents of the statement; d) surprise or suddenness of the stimulus; e) physical and psychological distance from events; f) time of utterance – the sooner a statement follows the incident, the more likely it is to be a spontaneous reaction
4. Excited utterance can be used in longer lapses of time as long as continuing stress, excitement of the situation is shown (People v. Smith, p. 276; State v. Stafford, p. 276)
5. Rekindled excitement is OK (State v. Gordon, p. 277)
3. United States v. Iron Shell (8th Cir. 1980, p. 271)
1. Facts: Everyone agrees that Iron Shell assaulted Lucy. Issue is whether intended to commit rape. If yes, greater penalty. Gov't wants to introduce what Lucy told Officer Marshall, who came to scene an hour after incident. Good – Lucy's nervous, scared, leaves in hair, eyes red. Bad – not crying.
2. Holding: Evidence admitted. Why?
3. Still excited: She can still be in an excited state an hour and 15 minutes later. This event could cause the kind of stress that gives us confidence in the statement offered under that stress.
4. Coaxing not excessive: The question was open-ended, “Tell me what happened.” There were no leading questions.
5. Upshot:
6. “excited utterance” usually won’t be days later, because stress subsides. Adults generally will be in stress for a shorter period than children. However, the courts make no iron-clad limits.
4. FRE 803(3) Then existing mental, emotional, or physical condition. A statement of the declarant's then existing state of mind, emotion, sensation, or physical condition (such as intent, plan, motive, design, mental feeling, pain, and bodily health)
1. Generally:
1. Major uses to prove
2. D's then-existing physical condition
3. his then-existing mental/emotional condition
4. future conduct (Phaester)
5. admits statements shedding light on speaker’s beliefs about his physical condition, state of mind, or mental, emotional or sensational conditions
6. Material fact
7. Sometimes the substantive law makes state of mind a fact of consequence to the determination of the action (material fact). Then this can be “material fact” (under Rule 401) that has to be proved.
8. Mens rea in criminal case (D's state of mind)
9. extortion (victim's state of mind)
10. intentional torts, fraud (D's state of mind)
11. Also, sometimes state of mind is relevant because it tends to prove or disprove another material fact. (Hillman, and Phaester)
12. Why trustworthy?
13. Immediate sensation, danger of lack of memory limited.
14. Perception problem limited – you know how you feel.
15. Generally won't have ambiguity problem.
16. But --
17. risks of lack of veracity, so some courts say can't use when circumstances suggest insincerity, i.e. blame-avoiding statements
2. Then-existing physical condition
1. Generally:
2. in personal injury suits, exception frequently used to cover statements describing aches and pains. Doesn't matter how close declarant is to time of injury/onset of ailment, just that he described how he feels at moment of declaration.
3. Doesn’t allow statements discussing cause of physical pain, just speaker’s perceptions of it.
3. Then-existing mental condition
1. Present mental state:
2. statement must indicate existing (or forward looking) state of mind, can't be used to prove prior state of mind. MUST BE PRESENT TENSE – I FEEL, NOT “I FELT.” Then we can infer.
3. So what D says on Wednesday about mental state on Monday doesn't count BUT
4. it is reasonable to assume that mental state continues over time, so what D says on Wednesday @ mental state may shed light on mental state on prior Monday and following Friday. But statement itself must be “I feel” in order to put inference to work, not “I felt.”
5. First admission on Wednesday (“I feel sick”) is all the hearsay. Then we're out of hearsay-land, and onto circumstantial evidence that we evaluate normally. BUT – courts generally refuse to draw inferences of continuity, particularly into past.
6. Can prove motive
7. “I hate Jim b/c he cheated me.” You can't use this to show Jim cheated me, but you can show I hated him. Fact that I think Jim cheated me is not needed to prove I assaulted him. However, it is a circumstantial fact that helps the prosecutor establish motive.
8. Fact-Laden Statements (Gillers seems to think belong in “circumstantial evidence of state of mind” rather than in 803(3))
9. Often utterances indicating mental state are totally factual (I say “you can't rent the building”; I'm thinking “you're a poor credit risk”). Reciting facts, but disclosing own state of mind. Or “he keeps following me” to show “she was afraid”?
10. Remembers court will do this only when victim's state of mind is actually at issue (i.e. in extortion case rather than murder).
11. Gillers seems to want them out of 803(3): Anna Sofer Hypo: If Anna said: “Ira is a bum” from which we infer that she believes he is a bum, from which we infer she would not have showered him with gifts. (circumstantial evidence of state of mind, not 803(3)).
12. If Anna said: If Anna said: “I believe Ira is a bum,” FRE 803(3) permits us to admit that statement to prove that it is true that Anna believed this, from which we infer the same thing – no gifts for Ira.
13. The fact that there are two routes to the same destination - depending on the text of the statement - is a mere formality and of no moment (just doctrinal difference).
14. On May 12 Lisa said:“My arm hurts something awful from the fall off Exco’s ladder last week.”
15. Rule 803(3) will admit this statement to prove Lisa’s arm hurt on May12 and to prove that Lisa believes or remembers that the cause was a fall from Exco’s ladder.
16. BUT the rule will NOT admit this statement to prove that Lisa’s memory or belief is true. Moreover, what Lisa remembers/believes as the cause of her hurt arm (fall from Exco’s ladder) is irrelevant under substantive law and so inadmissible under Rule 401.
17. Shepard v. United States (SCOTUS 1933, p. 284): “Dr Shepard has poisoned me!” not accepted as “state of mind” evidence.
18. “The testimony faced backward instead of forward.” Spoke to a past act of someone not the speaker [remember, can't be statement of memory or belief]
19. This was a fact-laden statement – direct statement of Dr. S's factual guilt which cannot be admitted
20. What if she said -- “I want to live”? There's nothing there that fingers Dr. Shephard, or shows her mental or physical state. Could admit to show “vital urge”
4. Subsequent Conduct
1. Future Conduct – exception allows statements expressing intent to prove that speaker later acted according to such intent
2. Mutual Life Insurance Co. v. Hillmon (SCOTUS 1892, p. 286):
3. Facts: Question of whether a body found at Crooked Creek was that of Hillmon or Adolph Walters. The insurance companies think Hillman's not really dead – rather, Hillman shot Walters, and arranged body so it would look like his. offered letters from Walter to his fiancée and sister saying he was “going west with a man by the name of Hillmon” to prove Walters’ intent was to go to west with Hillmon.
4. Holding: Letters could be used to show Walters “had the intention of going, and of going with Hillmon, which made it more probable both that he did go and that he went with Hillmon. Case allowed prospective inferences, but not to prove the past (can't be used to show he spoke to Hillmon under 803(3), but can show he intended to go w/ Hillmon to Colorado)
5. Problem: This conclusion depends on Hillmon's volition as well as Walker's. Requires inference about behavior of another from W's stated intent. Is this OK?
6. United States v. Phaester (9th Cir. 1979, p. 289)
7. Facts: Larry says “I'm going to go meet Angelo in the parking lot to buy some marijuana.” Larry doesn’t come back and is never found.
8. Question: Is it ok to use declarant’s expressed intentions to show not only declarant's future conduct, but also the actions of another? [Hillmon: “Dear Alvina: I’m going to Colorado with Hillmon”] Admitting the statement to prove that Walters went with Hillmon or that Larry met Angelo requires an inference about the behavior of another from the declarant’s intent. In Pheaster, this requires crediting Larry’s memory of an arrangement. In Hillmon, it requires either memory of the arrangement or an inference of how Hillmon will react to Walters’ plan.
9. Holding: This case allowed statement to prove 3rd party’s actions, but the extension in this way is not common.
10. Upshot: Not clear if Phaester still good law. Modern cases tend to admit state-of-mind statements to prove later meeting b/t speaker and another only w/ additional evidence of such a meeting (295). BUT you can use statements to create inference that 3rd party met declarant (p. 295).
11. Factors to consider in allowing statement of intent to implicate 3rd party?
12. Need for the statement (Larry’s missing)
13. corroborating circumstances (Larry knew Angelo and others had seen Larry w/ him; Larry walked over to the lot after announcing intent to do so)
14. Clarity of statement
15. Recency of implied agreement to meet
16. Also – immediacy of action – did he go straight to the parking lot?
17. United States v. Annunziato (2d Cir. 1961, p. 296)
18. Facts: Annunziato is charged with taking bribes. He tells Harry the contractor that if he wants job done, has to give him money. Harry is dead and Annunziato is on trial. Harry’s son testifies at trial that his dad said that Annunziato called and requested some money.
19. Question: Can Harry’s statement to Richard be used to prove that Annunziato made that call? It’s backward looking – used to prove something that happened in the past.
20. Holding: Lets in backward looking statement, despite Shepard.
21. Why did they let it in? a) immediate past; b)Future action closely related to the retrospective component: Harry was doing something as he spoke to son based on the immediate past event.
5. FRE 803(4) Statements for Purpose of Medical Diagnosis or Treatment. Statements made for purposes of medical diagnosis or treatment and describing medical history, or past or present symptoms, pain, or sensations, or the inception or general character of the cause or external source thereof insofar as reasonably pertinent to diagnosis or treatment.
1. Generally
1. Main Requirements:
2. made for purposes of medical diagnosis or treatment [subjective]
3. Reasonably pertinent to diagnosis or treatment [objective]
4. No subject or object in statutory wording.
5. Some patients (i.e. infants) cannot talk, and others need to explain the symptoms to the physician on their behalf.
2. Issues:
1. Statements made by whom?
2. Statements made to whom?
3. Diagnosis or treatment
4. past or present
5. general character or cause
6. reasonably pertinent
3. Pertinent?
1. In connection with physical injury, statements saying when/how it happened (car accident, slip-and-fall, assault) and mentioning objects or implements (dashboard, steps, knife or club, fists or feet) are pertinent.
2. In connection with illness, the time of onset of symptoms and apparent cause (eating food or ingesting other things, exertion, exposure) are pertinent, as is nature of the symptoms (pain, nausea, fever).
3. Statements may satisfy the pertinence requirement even though they describe prior sensations, symptoms, or events. It is only important that they bear on treatment or diagnosis. In this respect the medical statement exception is broader that FRE 803(3), which reaches only statements describing present sensations or feelings.
4. Big Questions:
1. identify abuser
2. ACN says “statements to fault don't ordinarily qualify” (306).
3. Commonwealth v. Smith (307): “We fail to see how the identity of the perpetrator of physical abuse was pertinent to the treatment of her burns.” Getting information for purposes of removing child from home does not fit w/ “diagnosis” or “treatment” idea.
4. United States v. Renville (305): court has to ask whether patient's motive is consistent w/ purposes of promoting treatment.
5. Identify cause of injury
6. Most courts allow statements that show the cause of the injury/illness but not an identification of a person responsible (“I was attacked,” NOT “Bob attacked me.”)
5. Blake v. State (WY 1997, p. 301)
1. Issue: Is ID of sexual abuser reasonably pertinent to diagnosis & treatment?
2. Holding: Ascription of fault not ordinarily within the contemplation of the exception – there is great potential for abuse. But the question with sexual abuse is: Should the physician know the identity of the abuser for purposes of treatment – psychological counseling, separation from the home? Evidence admitted.
3. Rationale: Needs to know emotional state in sex assault case. Also relied on victim's account of circumstances to determine proper treatment.
4. Upshot: At what point could this become testimonial under Crawford and Davis? Hanging question of whether statements to non-law enforcement could be testimonial, but this seems like it's made for “purposes of later enforcement.” If police doctor, definitely.
6. Children (308)
1. What if Blake victim was an adult at the time of this trial? To what extent is this case driven by the age of the victim (which is not identified as one of the criteria in the rule)? Court admit lots of statements by kids of ID of responsible actor in these cases – under theory that identification is more pertinent to treatment of this sort. Blake older than usual, but still. The cases haven’t gone as far as to allow the exception in the case of adult victims.
2. State v. Smith (NC, 1985, p. 308): Admits statements by children to other people (grandmother) describing abuse. More leeway b/c young children can't independently get treatment – need to find someone to get it for them. Statements “immediately resulted in medical treatment.” Is this a good use of the exception?
7. Treating/Diagnosing Physician (308)
1. FRE allows statements to diagnostic physicians, not just treating physicians. One way you go to a diagnostic physician is as a prelude to treatment. Another way, though, is a prelude to testimony – you are getting the doctor as an expert witness. Don’t the motives get skewed at that point?
2. Veracity risks greater w/ “diagnosis,” and common law wouldn't have admitted statements of pure diagnosis. The federal drafters choose to make it broader.
8. What does this admit?
1. Statements by family members (parent, sibling, or spouse) who brings the patient to a hospital to doctor’s office, and Good Samaritans too (310)
2. Statements b/t physicians concerning the patient, as long as declarant has personal knowledge of issue and not just repeating what patient said (310)
3. Statements to psychiatrist and psychologist, doctors whose services include treatment and diagnosis, so reason to suppose statements to psychiatrist for purposes of obtaining these services fit the exception (310)
4. But ample latitude to impeach both the declarant and the testifying witness. A party should not be allowed to use a psychiatrist as a surrogate witness for purposes of reciting the party’s own statements in support of claims of defenses.
6. FRE 803(5) Recorded Recollection. A memorandum or record concerning a matter about which a witness once had knowledge but now has insufficient recollection to enable the witness to testify fully and accurately, shown to have been made or adopted by the witness when the matter was fresh in the witness' memory and to reflect that knowledge correctly. If admitted, the memorandum or record may be read into evidence but may not itself be received as an exhibit unless offered by an adverse party.
1. Requirements
1. memo or record
2. could be audio tape
3. about which witness once had knowledge
4. Witness/declarant MUST be on the stand – a difference for most 803 exceptions, b/c availability is a factor. Witness testifies to the record being introduced – personally authenticate in a sense. [Witness may exclude his own statement by refusing to endorse it
5. Recorded recollection must correctly reflect prior firsthand knowledge on the part of the witness.
6. If he can't remember because the statement is one of many entries he routinely makes, can show accuracy by describing routine that supports inference that statement accurately reflects what he knew.
7. No statement should verify itself, especially by boilerplate language routinely added by police, lawyers, or others.
8. but now has insufficient recollection
9. you don't need to have NO memory, some but inadequate OK
10. shown to have been made or adopted by witness
11. Where a written signed document in his own hand, no question.
12. But someone could have written out, and the witness signed a document written by someone else.
13. If a witness did not participate in making the statement, it may still be used to refresh memory but not as recorded recollection.
14. US v. Booz (317): bystander saw license #, guard fetched a paper and got bystander to scribble down. This counts as “adopting” b/c had role in making statement.
15. when matter is fresh in memory
16. No hard and fast time limit. Not necessary that statement be made contemporaneously with events, or w/in moments of occurrence.
17. See US v. Senak (316): Statement made three years after event.
18. to reflect knowledge correctly
19. proponent can't give letter to jury. Can read letter to jury. Opponent can waive this protection and offer as exhibit.
20. Rationale - prevent jury from giving undue emphasis to the written word, since proper use depends on testimony by the witness.
2. Generally:
1. Note interaction with Rule 612 – procedures for refreshing recollection to then generate present testimony
2. Show any document to the witness, ask about whether recollection is refreshed, but the document is not offered to the jury ⋄ if refreshing, witness can then testify as usual
3. Ohio v. Scott (OH 1972, p. 311)
1. Facts: Carol Tackett originally had given a statement to the police implicating her boyfriend and now she is creating an alibi for him. The prosecutor gets it admitted into evidence. Is this OK?
2. Holding: No worries! She made or adopted the statement, it closely followed the events, and it represented her personal recollection at the time. Does it matter that the defendant wasn’t there at the time she made the statement? No. No violation of Confrontation Clause.
3. Rule: it's fine to use “statements of past recollection against criminal Ds”
4. Dissent: This is terrible, terrible idea.
5. Statement not made in presence of D.
6. admitting written paper, over D objections, results in too much weight by jury
7. special emphasis on facts in statement as against other facts
8. AND – witness must testify that lacks present memory in order to use “recorded recollection.” Tackett insisted she remembered fine.
4. Upshot:
1. Courts abuse this, as the court in Ohio v. Scott did. Must distinguish between two concepts – present recollection revived and past recollection recorded. The first is the process by which you help a forgetful witness remember an event. Past recollection recorded is a recording of past recollections that is admitted for its truth.
2. Testimony from prior proceeding can get in here (317)
3. even if speaker gives testimony that seems to contradict what he said in recorded recollection. US v. Williams.
7. FRE 803(6)Records of Regularly Conducted Activity [Business Records]. A memorandum, report, record, or data compilation, in any form, of acts, events, conditions, opinions, or diagnoses, made at or near the time by, or from information transmitted by, a person with knowledge, if kept in the course of a regularly conducted business activity, and if it was the regular practice of that business activity to make the memorandum, report, record or data compilation, all as shown by the testimony of the custodian or other qualified witness... unless the source of information or the method or circumstances of preparation indicate lack of trustworthiness. The term "business" as used in this paragraph includes business, institution, association, profession, occupation, and calling of every kind, whether or not conducted for profit.
1. Generally:
1. With “party admission”, probably most frequently used hearsay exception
2. “in any form”
3. embraces all recorded information – work orders, truck driver's notebook recording deliveries, flight training records, anything.
4. “person w/ knowledge”
5. “lack of trustworthiness”
6. gives judge residual authority to exclude things that don't appear trustworthy. Under 401, trustworthiness not a basis for excluding relevant evidence, but here it is
7. If the offering party shows a business record that satisfies the basic requirements, the exception applies and the record is considered trustworthy unless the other side shows it is not
8. “Business”
9. can't be record of party to litigation – has to be 3rd party (credit card company, telephone company, hospital, etc).
10. record comes in to prove that people who made statements memorialized in the record did make the statement. You can prove that customer said X through business record
11. But second level problem – is what customer said admissible for its truth? Proponent of record needs to find another exception to show what customer said is true.
12. Why is this okay?
13. Recording of event that happened in a business context is something we can trust because the person doing the recording is under a business duty to do it right, which gives us some confidence in its perception.
14. If done contemporaneously, diminished memory concerns.
15. If regular course of business, low concern w/ veracity since they have incentive to get own records right.
16. Ambiguity maybe not erased as concern, but even that lessened.
2. Elements
1. Regular Business, regularly conducted activity
2. only records of a “business, institution, profession, occupation,” though not necessarily for profit, and only the records the business normally generates (i.e. not records specially made for pending litigation.
3. Includes illegal enterprises, and illegality no indication that requirements of exception not met. Churches and schools, also.
4. Records of a sole proprietorship qualify.
5. Records made for purposes of pending litigation are usually excluded if they are not routinely made.
6. Each person who participates in making the record must act in routine of business.
7. Personal Knowledge of Source
8. Basically, chain can't be broken. Based on maker's own knowledge, or by knowledge of someone else in the business.
9. Source of the info captured by the record must have personal knowledge (same as FRE 602), but others in the chain of transmission of information, including the person who physically makes the record, need not have such knowledge. If person who actually makes entry doesn't have personal knowledge you get hearsay within hearsay [FRE 805: Hearsay included within hearsay is not excluded under the hearsay rule if each part of the combined statements conforms with an exception to the hearsay rule provided in these rules].
10. And someone must testify to the workings of the record keeping system, with personal knowledge of that
11. So a business record may record an event (I said…), or it may record a statement by another, who may or may not be part of the business (I said she said….)
12. Contemporary
13. Information should be recorded contemporaneously with event or observation, but liberal interpretation of this. Basically, near time.
14. Foundation Testimony
15. “Custodian of records” or “other qualified witness” will come into court to provide “foundation” for business records.
16. Won't be the person who created the record (in fact, person might not create at all – could be created electronically). Will be someone familiar with how records are prepared and w/ firsthand knowledge of record-keeping system.
17. Basic questions: a)What is your job? [“I work in records dep't of Company A”] b) Do you recognize these exhibits?; c) Is it in the regular course of business to keep these records?; c) Were these specific records kept in regular course of business?
18. Hearsay within Hearsay
19. FRE 805: Basically, sometimes there will be hearsay w/in the business record. Person wrote something down that he or she perceived. Instead of forcing putting to come to court to say what he perceived, we have the record (“I wrote the check”). Declarant might not even remember, b/c he does this 100 times a day, and it's now 18 months later.
20. Instead of making declarant come to court and say “I did that”, we have his record.
21. Problem: Record says “George said X.” Interpreted, this says “I say, George said X.”
22. If George is part of business, and under business duty, 803(6) will admit for truth. If George not under business duty, need another hearsay exception to admit what he said – either you're offering what he said for non-hearsay use, or you need another exception to admit it for its truth
3. Petrocelli v. Gallison (1st Cir. 1982, p. 320)
1. Facts: Petrocelli’s nerve was severed. P offers Dr. Swartz’s record and the Mass. General Hospital record containing unsourced statements that nerve was cut during the operation. They want to admit them under the business records exception to prove negligence.
2. Problem:
3. if this were finding by doctor who made the record, could be admitted under 803(6). But we have nothing in record to suggest that this is diagnosis/opinion. Instead, simply doctor recording what patient told him, and not his own opinion. So can we trust statement as doctor's own opinion?
4. 803(4) and 803(6) in combination could admit it, but not what lawyer for P wants it. That would credit statement to P, and they want credit to come from the doctor. If jury told that statement is admissible for truth coming from P, that adds nothing to his case.
5. Holding: fails the personal knowledge of the source requirement – the information could have come from Petrocelli or his wife.
6. Upshot: remember that each level of hearsay requires an exception.
4. Norcon, Inc. v. Kotowski (AL 1999, p. 326)
1. Facts: Kotowski is employed by Norcon. After Kotowski says Posehn (Norcon foreman) is harassing her, Ford (works for Purcell Security investigating allegations of rulebreaking) does an investigation and writes a memo, which is a business record. In the memo are statements by two Norcon supervisors who say that other people told them that Posehn would do favors for his female crew in exchange for sex. K wants to get the statements in for their truth. Does this work under 803(6)?
2. Problem:
3. Two employees providing information not acting w/in regular course of business.
4. Double hearsay problem, since Norcon supervisors got information from people working for other people.
5. Holding: We can use Ford's report to prove that supervisors said what the report said they said, NOT that what they say is true. Basically, report says that Posehn traded employment assignments for sex, which helps K's case. BUT – it wasn't error to admit the Ford memo, because supervisors were agents speaking at a time that they were employed by Norcon. As supervisors, alcohol use and sexual harassment are matters which required report, especially in response to an employer-initiated investigation.
6. Upshot: App Ct treats as “vicarious admission by party opponent” w/in business record.
7. 801(d)(2). We use 803(6) to prove that these employees said what the business record said they did, and 801(d)(2) to admit the inner level of “vicarious admission” hearsay of supervisors speaking against Norcon. BUT – we don’t know if these are speaking agents or speaking in the course of employment. Also, if require 801(d)(2), only the opponent (Norcon) can admit the statement.
8. 803(6). There is also the possibility that you could see the statements of the Norcon employees as part of the Ford business record. Even though Coyle and Stampley aren’t in the Purcell business, they are in the Norcon business, which is affiliated. It is an unusual use of 803(6) when there is more than one business involved. One advantage of treating it all as an 803(6) exception is that either side could offer it.
9. Normal Activities?
10. Regularity of the activity: Supervisors gather information to help w/ investigation
11. Business duty: You're required to help.
5. Bean v. Montana Court of Labor Appeals (MT 1998, p. 331): Incident report not prepared in course of routine nursing nursing activity. Rather, made “in anticipation of litigation” and thus inherently untrustworthy.
6. Palmer v. Hoffman (SCOTUS 1943, p. 331):
1. Facts: D railroad tried to introduce a report it made exculpating it from responsibility for the accident. Engineer who prepared report was personally involved and likely to be charged w/ wrongdoing in lawsuit.
2. Holding: Supreme Court said that the business of a railroad is running trains, not investigating accidents. This report is dripping with credibility problems, so we won’t admit it under the business exceptions record.
3. Problem: But it is in the business of businesses to investigate accidents. Opinion had the blanket effect, however, of saying that all accident reports by companies are inadmissible. Many people felt that this was going too far – it shouldn’t a rule of exclusion, but of discretionary exclusion.
4. Upshot: Palmer is preserved now only in “trustworthiness” language of 803(6) and 803(8), giving trial judge right to exclude if necessary
7. Response to Palmer:
1. FRE and cases that follow Palmer don’t exclude them all just because this one was suspect. They explore the facts and trustworthiness of the report. Its exclusion should turn on the fact that it was not trustworthy, not on the fact that all accident reports are not trustworthy.
2. Lewis v. Baker (2d Cir 1975): Accident report prepared by railroad in FELA suit. 2d Cir admits despite Palmer since preparers not personally involved and not target of suit.
3. Some courts offer “self-critical analysis privilege” offering some protection to companies who take steps to investigate work probs.
8. FRE 803(7) Lack of Record. when an act, event or condition would normally generate an entry or record, evidence that no such entry or record exists can be used to prove that the act or event did not occur or the condition did not exist
1. mirror image of FRE 803(6), allowing evidence that info is lacking in a place where it would normally be recorded.
8. FRE 806(8) Public Records and Reports. Records, reports, statements, or data compilations, in any form, of public offices or agencies, setting forth (A) the activities of the office or agency, or (B) matters observed pursuant to duty imposed by law as to which matters there was a duty to report, excluding, however, in criminal cases matters observed by police officers and other law enforcement personnel, or (C) in civil actions and proceedings and against the Government in criminal cases, factual findings resulting from an investigation made pursuant to authority granted by law, unless the sources of information or other circumstances indicate lack of trustworthiness.
1. Why is this OK?
1. presumed that public servants do jobs w/ care, w/o bias or corruption, and exposure surrounding gov't records ensures accuracy. Repetitive routine adds insurance against misstatement, though routine not required.
2. Necessity – public servants don't remember everything they record.
2. What's allowed?
1. Clause A: “Records describing activities of office or agency”
2. court transcripts to show testimony given
3. marshal's return indicates service of process
4. “progress sheet” issues by Treasury Dep't describing processing and mailing of checks
5. Clause B: “Matters observed by public officials”
6. Ex: records of weather conditions, Treasury reports of border crossings, and observations in an accident report that describes the scene and equipment and report concrete measurement and easily observable damage or destruction
7. Requirements: a) The source of the record must have personal knowledge; b) The source of the record must have a legal duty to observe and report (this does not mean a particular statute or regulation must expressly impose duty); c) The record must be one that the public agency is required by law to prepare (again, this does not need to be imposed by statute)
8. Should be interpreted to include material that is more concrete and simple that interpretive or evaluative (Clause C).
9. in criminal cases, excluded “matters observed” by police officers
10. Clause C: “factual findings resulting from an investigation made pursuant to authority granted by law.”
11. Ex: investigative findings on official misconduct, everyday police reports on car accidents based on investigating the scene and talking to witnesses and participants, and other accident reports prepared by specialized agencies. EEOC employment discrimination findings
12. “Factual findings” is best understood as requiring that the report have an appropriate basis and some factual meaning.
13. Can't be used against the accused in criminal cases.
3. Trustworthiness “of the sources of information or other circumstances”
1. ACN criteria (339)
2. Timeliness of the investigation
3. special skill/experience of the official
4. whether hearing held, and level on which conducted
5. possible motivational problems
6. Other ideas (351)
7. finality of agency findings
8. extent to which findings rely on inadmissible evidence
9. if hearings, appropriate safeguards or no
10. presence of ascertainable record on which findings based
11. extent to which findings are policy rather than fact
12. findings resting on findings by other bodies
13. where findings resting on expert opinion, are facts/data on which opinion based reasonably relied upon by experts in field
4. Baker v. Elcona Homes (6th Cir. 1978, p. 334)
1. Facts:
2. Big accident in which many people are killed. Question is who had right of away between truck/car. Officer Hendrickson reaches scene in 6 minutes, interviews truck driver, concludes car had red light.
3. At trial, Hendrickson was called, but the lawyer for Elcona Homes didn’t ask his opinion. After Hendrickson got off the stand, the lawyer offered his report concluding that the Valiant was at fault.
4. Trial tactics:
5. Why didn't they just ask his opinion?
6. Lawyer knew 803(8) would allow him to use report for its truth, including officer’s conclusion. Wanted to introduce report after sergeant was gone so other side couldn’t XE him.
7. Issues:
8. B) Matters observed. Officer's job is investigate accidents. No prob.
9. C) Factual findings. H concluded truck had the right of way, but didn't see accident. One might say that this isn’t a factual finding, but an opinion based on inferences from factual findings. A narrow interpretation would exclude Hendrickson’s conclusion. But the court rejects a narrow interpretation. The Supreme Court also later opts for a broad interpretation of “factual findings,” subject to the trustworthiness criteria.
10. Report also quotes what truck driver said, which tended to prove that the Valiant was negligent. Can report be used to show truck driver said what he's quoted as saying? Can what he said come in for truth?
11. Holding
12. 803(8) public records doctrine broad enough to admit opinions, if they are trustworthy
13. This fits ACN criteria for trustworthiness: a)Timeliness [no memory problem]; 2) skill level [H had investigated 100s or 1000s of accidents; 3)no hearing, but gathered all evidence he could; 4)no improper motive.
14. Report can be admitted to prove fact that truck driver said what he is recorded as saying.
15. Truck Driver's Statement
16. Use of statement in forming Hendrickson’s conclusion. H used what truck driver said to him to reach a conclusion. It’s up to the opposing lawyer to argue against Hendrickson’s conclusion on the ground that Slabach is agent of D and can’t be trusted.
17. Does the report get Slabach’s statement in for its truth? Anyone's statement in the report, if offered for its truth, needs an independent hearsay exception. The court says that here there was one – the prior consistent statement exception, 801(d)(1)(B).
18. Upshot
19. Not every state would admit this. NY excludes police accident reports based on eyewitness accounts, and other states do as well.
20. Johnson v. Lutz (NY 1930, p. 341): police report of accident resting on statements by onlookers not w/in business records exception.
5. United States v. Oates (2d Cir. 1977, p. 342)
1. Facts: Weinberg did analysis of “heroin” as part of criminal investigation. At time of trial, he's too sick to testify. Gov't calls another chemist (Harrington) in same office as Weinberg. She testified that substance was heroin, using Weinberg’s lab report and notes. D objects that H could not be vehicle for Weinberg’s notes because he is here to cross-examine Weinberg.
2. Question: Can P introduce report w/out Weinberg by means of 803(8) public records exception?
3. Holding: NO. Under FRE803(8) the chemist’s report and worksheet could not satisfy the requirements of the “public records and reports” exception. Confrontation clause problems in using against criminal D.
4. 803(8)(B) excludes matters observed by other law enforcement personnel in criminal cases. W doesn't have investigative fxn, just does tests in a lab. BUT – he's part of law enforcement apparatus. Helps build cases against accused persons, and therefore he is in law enforcement and is law enforcement personnel.
5. 803(8)(C) allows “factual findings” in proceedings against the gov't in criminal cases, but not against accused.
6. How could the gov't ever get this in?
7. Holding: No exceptions can be used if 803(8) doesn’t fit. Gov't tries to admit under 803(6), which doesn’t have same exclusionary language. Judge argues the legislative history shows that if 803(8) not available because of policy for protecting accused, can’t admit under different rule. Makes sense, but it goes too far. Other courts, in fact, have allowed public documents to come in under, for example, 803(5) – past recollection recorded – Weinberg may fill out hundreds of reports a year and not specifically remember the one at issue, so we use 803(5) to let him testify fully and accurately. If W remembers, couldn’t use 803(5). Others used 803(10) absence of a fact as proof of its non-existence. In United States v. Yakobov, 2d Cir. admits evidence under 803(10) as an alternative to 803(8). Also, other courts have admitted under 803(6) business records.
8. Also gov't sometimes uses FRE 803(6) in criminal cases. US v. Puente, US v. Orozco (p. 350): license plate #s recorded by Customs Agent admissible [the agent punching in the numbers is a law enforcement officer under 803(8)(B) BUT rule is concerned about officers who are out to get their man, where we fear improper motive. But if they’re just mechanically punching in numbers, that concern is greatly reduced, if not eliminated];
9. Also US v. Hanson (p. 350): report of city building inspector ok, though could result in crim charges.
10. The accused can get the police report in if he wants (350).
9. FRE 803(18) Learned Treatises. To the extent called to the attention of an expert witness upon cross-examination or relied upon by the expert witness in direct examination, statements contained in published treatises, periodicals, or pamphlets on a subject of history, medicine, or other science or art, established as a reliable authority by the testimony or admission of the witness or by other expert testimony or by judicial notice. If admitted, the statements may be read into evidence but may not be received as exhibits
1. Generally
1. At common law, learned treatise could only be used to undermine the credibility of the other side’s expert witness. If author of the treatise said something inconsistent with the other side’s expert and you can establish the treatise as authoritative then you can reveal that treatise is inconsistent with the expert’s opinion. However, it could not be admitted for its truth.
2. Admissible for truth
1. The new rule is hearsay exception, so learned treatise can be used for its truth. Need to have an expert on the stand, in either direct or cross-examination. Authoritativeness of the treatise can be established by any expert witness or by the court. Oftentimes opponent will refuse to recognize the treatise as authoritative – thus you may need to rely on the court.
3. Usable in direct case
1. It’s not only in XE that you can use treatise, but also as part of direct case. Can bolster expert’s testimony by showing an authoritative treatise agrees. Cannot be taken into the jury room, but is read to the jury. Nonetheless, it can be quite useful – especially in cases against professionals where it is difficult to find another professional to testify against D.
5. FRE 804: Hearsay Exceptions; Declarant Unavailable
1. FRE 804(a) Definition of Unavailability.
1. Generally: doesn't have to be physically unobtainable. Requirement satisfied if testimony is unobtainable.
2. FRE 804(a)(1). Privilege. "Unavailability as a witness" includes situations in which the declarant (1) is exempted by ruling of the court on the ground of privilege from testifying concerning the subject matter of the declarant's statement
1. i.e. spouse, child in child abuse case, lawyer-client privilege
2. in criminal cases, exercises 5th right against self-incrimination
3. Gov't can make that witness available by granting immunity. On the other hand, the Government can choose to not grant immunity if they want the witness to be unavailable. Courts are very hands-off with that, generally allowing gov't to take the approach it wishes.
4. Party can't just assume
5. Rules seem to imagine actual test – declarant takes the stand, refuses to testify, and Court sustains position.
6. Usually can't just assume a declarant would claim privilege if called
3. FRE 804(a)(2) Refusal to testify. "Unavailability as a witness" includes situations in which the declarant (2) persists in refusing to testify concerning the subject matter of the declarant's statement despite an order of the court to do so
1. Actual refusal
2. declarant W won't answer question; won't cooperate when ordered
3. Effort to get cooperation essential, and Rules imagine threat of contempt
4. FRE 804(a)(3) Lack of Memory. "Unavailability as a witness" includes situations in which the declarant (3) testifies to a lack of memory of the subject matter of the declarant's statement
1. Compare FRE 801(d)(1): “(1) Prior statement by witness. The declarant testifies at the trial or hearing and is subject to cross-examination concerning the statement….”
2. testimony can be admissible under 801(d)(1)(A) though claims lack of memory about subject matter. Upshot is that you could remember making statement well enough to be XEd about it, but not remember “subject matter” of underlying events for 804(a)(3).
3. So it is possible to be “subject to XE concerning the statement” and “lack…memory of the subject matter of the…statement” at the same time. “The statement” is not the same as “the subject matter.”
4. Someone who is “unavailable” within FRE 804(a)(3) may still be “subject” to XE concerning the statement under FRE 801(d)(1).
5. FRE 804(a)(4) Death, Illness, Infirmity. "Unavailability as a witness" includes situations in which the declarant (4) is unable to be present or to testify at the hearing because of death or then existing physical or mental illness or infirmity
1. What satisfies?
2. Minor ailment w/ quick recovery no, even though can't attend trial on given day.
3. Mental conditions can make you unavailable.
4. Psychological or medical unavailability – i.e. in sex abuse crimes against children, victim so afraid that can't cope w/ testifying.
6. FRE 804(a)(5) Unavoidable Absence. "Unavailability as a witness" includes situations in which the declarant is absent from the hearing and the proponent of a statement has been unable to procure the declarant's attendance (or in the case of a hearsay exception under subdivision (b)(2), (3), or (4), the declarant's attendance or testimony) by process or other reasonable means.
1. What satisfies?
2. Beyond subpeona power of court, outside 100 mile district ct bulge, and parties have invited her to attend anyway and she refused AND in case of gov't in criminal trials, offered to pay travel expenses.
3. Physically in range of subpoena, but can't be found. Have you made a diligent search? How diligent?
4. Unavailable witness is NOT one whose testimony in other form could be obtained (see parenthetical), i.e. deposition.
5. “unavoidable absence” -- still Crawford if statement is testimonial.
7. FRE 804(a) Procurement or Wrongdoing. A declarant is not unavailable as a witness if exemption, refusal, claim of lack of memory, inability, or absence is due to the procurement or wrongdoing of the proponent of a statement for the purpose of preventing the witness from attending or testifying.
1. Immunity
2. When gov't threatens prosecution or refuses to immunize witness, is it procuring unavailability? Probably not, but sometimes (357).
3. Less than diligent attempt to get witness to trial:
4. Problem 4-M: gov't lost on basis that didn't try very hard to get her back (asked consulate, but didn't offer to fly her over, tell her she could bring mother, etc). Also, they should have kept her in US instead of permitting to return to Australia – didn't have to be in jail, not criminal, could have been in hotel. B/t her discomfort and Master's right to confrontation clause, he wins.
5. Yes, gov't can detain foreign nat'l against whom no charges pending. Confiscate her airline ticket; detain as materia witness.
6. And no, can't use deposition instead – can only use deposition in criminal cases in “exceptional cases.” Not exceptional, just didn't try hard enough to procure live testimony.
7. Barber v. Page (SCOTUS 1968, p. 359):
8. Facts: Criminal trial in which gov't used prior testimony by Woods. Didn't even make effort to bring Woods to OK. Even if OK couldn't force TX to bring Woods to OK, there are interstate compacts that would allow OK to ask TX to send him over for testimony.
9. Holding: Confrontation Clause is a trial right. A witness is not “unavailable” for purposes of hearsay exception unless prosecution made good faith effort to obtain presence at trial.
10. Upshot: State has to make serious, substantial effort to bring the witness into court.
11. Witness overseas, trial in state court
12. Mancusi v. Stubbs (SCOTUS, p. 361): If State is powerless to obtain presence at trial b/c can't order foreign nation (Sweden) to give him up and must rely on their voluntary assistance, the State need not “purpose unavailable remedies.”
13. BUT State v. Smyth (p. 362): Stubbs excuses state from pursuing unavailable remedies, but pros should make good faith effort to bring witness back from Canada.
2. FRE 804(b)(1) Former Testimony. The following are not excluded by the hearsay rule if the declarant is unavailable as a witness: (1) Testimony given as a witness at another hearing of the same or a different proceeding, or in deposition taken in compliance with law in course of the same or another proceeding, if the party against whom the testimony is now offered, or, in a civil action or proceeding, a predecessor in interest, had an opportunity and similar motive to develop the testimony by direct, cross, or redirect examination.
1. Generally:
1. relatively easy to accept, b/c prior statement's been made under oath and w/ XE. You lose Confrontation right, which is significant, but still one of easier exceptions to deal w/.
2. for criminal cases, party against whom prior testimony is offered has to have had opportunity to XE declarant in the prior proceeding. For civil, predecessor in interest can have XEd declarant.
3. Hearsay issues: almost always presented as transcript, which amount to out-of-court assertion by court reporter that witness said X. SO FRE 805 hearsay w/in hearsay. 804(b)(1) former testimony paves way to admit what W said as proof of what he asserts and 803(8) public records allows admission of transcript to prove the words uttered.
4. Issue w/ opportunity and motive – what if you had opportunity, but didn't want to XE for other reasons?
2. Conditions:
1. “Proceeding” carries broad meaning and embraces any official inquiry conducted in a manner authorized by law, whether judicial, administrative, legislative, investigative, or inquisitorial.
2. “Testimony” reaches statements that are sworn, subject to penalty of perjury, made in response to questions on the record (transcribed stenographically or electronically), all pursuant to legally authorized routine. Exception does not embrace affidavits.
3. Criminal issues”
1. Grand Jury?
2. The government cannot invoke the exception to offer prior grand jury testimony because Ds would have had no chance for prior XE.
3. The cases are in disarray over whether the defense can offer grand jury testimony in criminal cases.
4. Preliminary Hearing?
5. Most courts hold that the exception reaches preliminary hearing testimony against defendants.
6. Arguably preliminary hearing testimony does not fit the exception when offered against the government, but the cases are inconclusive
4. “Predecessor in Interest” Problem – Civil Cases
1. If A is the party against who the prior testimony is offered and he lacked opportunity or motive to XE the testifying witness in the prior proceeding, the exception can be used only if some “predecessor in interest” to A had such opportunity and motive. Who is a predecessor in interest?
2. Possibility 1: “predecessor in interest” = larger notion of a “community of interest.” I.e., a government agency that brings an enforcement action is a predecessor in interest to those it seeks to protect, which may be the public in general or some recognizable subgroup.
3. Lloyd v. American Export Lines, Inc (3d Cir. 1978, p. 364): Lloyd v. American Export v. Alvarez. While case going on, Coast Guard convenes hearing to determine whether Lloyd's merchant marine documents should be suspended or revoked for misconduct. At hearing, he's XEd by Coast Guard lawyer. Now we're at trial, and Lloyd has disappeared. There was effort to locate him, and he can't be found to be XEd by Alvarez.
4. Holding: No worries. “If party having a like motive to XE about same matters as present party would have, and got adequate opportunity for XE, testimony may be received against present party.
5. Dissent: 1) “community of interest” here means only that investigating officer tried to establish same facts as Alvarez. Similar motive is not the same as predecessor in interest, which is term of art. 2) Does Coast Guard prosecutor have same interest as Alvarez has as a private litigant? Can prosecutor really be thought of as a predecessor in interest? Basically, prosecutor wants justice, not damages or vindication of rights of individual victim, and atty for gov't has overlapping interests but not same. For instance, under no obligation to mount every possible issue against Lloyd in vindication of Alverez' interests. I cannot endorse a rule that would automatically render admissible against a party evidence elicited in different proceeding by unrelated person just b/c of common interest in same facts.
6. Possibility 2: predecessor in interest incorporates a notion of privity.
7. Possibility 3: At least in cases where testimony from enforcement actions is offered in private suit brought by parties within contemplation of the enforcement action, the proviso should probably require some formal relationship between a litigant in the prior suit and the one against whom the former testimony is offered
3. FRE 804(b)(2) Statement under belief of impending death. The following are not excluded by the hearsay rule if the declarant is unavailable as a witness: (2) In a prosecution for homicide or in a civil action or proceeding, a statement made by a declarant while believing that the declarant's death was imminent, concerning the cause or circumstances of what the declarant believed to be impending death.
1. Generally
1. What's allowed in is that part of statement that concerns the cause or circumstances of the death. BUT probably can include descriptions of prior threats and fights, physical pain/sensations, and matters inhaled, ingested, injected (373).
2. Can include IDs of assailant.
3. You can't say “I'm dying 'because' . . .”
4. The thing that will always get in is, “I’m dying and I know it, Jim shot me.” What will not get in is, “I’m dying and I know it – let me tell you how I spent the past year.”
5. Declarant must be unavailable but not necessarily dead at time of trial – if belief of impending death was reasonable at the time statement was issued, subsequent recovery doesn’t block the exception
6. Only available in circumstances where declarant really thought death was imminent
7. At common law, only allowed in homicide prosecution. Drafters of FRE expanded to include civil law.
8. Overlap:
9. The dying declaration could be an excited utterance but it need not be. These exceptions aren’t airtight categories – they are overlapping. Sometimes you can use more than one.
10. Question if statement is dying declaration is one of law – doesn't go to jury.
2. Theory behind
1. you won't lie on verge of death (low concern for veracity)
2. immediate (no worry about memory)
3. perception could be worrisome
4. ambuigity?
3. Mattox v. United States (SCOTUS 1892, p. 374): Allowed dying declarations based on nature of wounds and advice by doctor that declarant was dying.
4. State v. Buggs (MN 1998, p. 374): shot multiple times, victim found lying on back in pool of blood. Seriousness of wounds, labored breathing, and fact of death w/in 2 hours were “sufficient evidence from which trial court could infer that she had a firm belief in impending death.”
5. Shepard v. United States (SCOTUS 1933, p. 375)
1. Facts: A week prior to death wife said “Dr. Shepard has poisoned me.”
2. Holding: Not a dying declaration
3. She's not dying: not a dying declaration because her heath had improved and the doctors thought that she was going to be fine.
4. No personal knowledge: circumstances suggest that declaration is suspicion or inference about who is responsible rather than result of personal knowledge, statement should be excluded
5. Upshot: The exception requires a “settled hopeless expectation” of imminent death, and even belief that illness will lead to death is not enough.
4. FRE 804(b)(3) Statements Against Interest. A statement which was [1] at the time of its making [2] so far contrary to the declarant's pecuniary or proprietary interest, [3] or so far tended to subject the declarant to civil or criminal liability, [4] or to render invalid a claim by the declarant against another, [5] that a reasonable person in the declarant's position would not have made the statement unless believing it to be true. [6] A statement tending to expose the declarant to criminal liability and offered to exculpate the accused is not admissible unless [7] corroborating circumstances clearly indicate the trustworthiness of the statement.
1. Generally:
1. Civil cases:
2. typically statements against financial/proprietary interest in civil
3. Context important
4. reason for the statement – apparently against interest, but if made to escape greater problem at time doesn't count (Donovan, p. 377).
5. Conflicting Interests
6. Courts can exclude statement on grounds that conflicting interests cancel each other or
7. determine whether statement mostly self-serving or disserving, and admit or not accordingly
8. One-way interest
9. (i.e. tax returns, but we don't know speaking against interest)
10. BUT – where interest of declarant to aim high, statement should be admitted to show the maximum (i.e. selling house, would say it was worth a lot. Where interest of declarant to aim low (taxes), statement could show minimum.
11. Circumstantially adverse facts
12. statement could fit exception w/o speaking directly of debts, property
13. i.e. -- statement that could give rise to liability, or loss – threatens the loss of employment, or reduces chances of further employment.
14. Declarant's understanding
15. Only useful if understood own interests and that fact/statement could affect them. Exclude statements made by people w/o necessary information to know that they were “against interest”
16. The fact that a statement was made in a setting that seemed safe because the speaker was among friends does not take his statement outside of the exemption
17. Effect of later events
18. Admits statements only if speaker knew, or should have known, that what was said was against his interest at the time of speaking (can't later become clear that bad).
19. Conclusory statements
20. “It wasn't your fault.” Some allow, some exclude as “opinions”
21. Criminal cases (against penal interest)
22. at common law statement against criminal interest not w/in exception, and still distrusted (Williamson)
23. statement to authorities are suspect -- “currying favor.” Can be inculpatory of another to share the blame, or encourage authorities to be lenient and go after someone else,
24. Statements against social interest
25. in federal system, statements “against social interest -- tending to make declarant an object of hatred, ridicule, etc.” aren't admissible, but they still use it some state systems. This makes sense, people don't really make these statements unless true
26. objective test – reasonable person would have seen as against interest.
27. What if d isn't reasonable person? We might get false positive w/ this – or false negative – someone who does understand implications of statement, but reasonable person wouldn't
28. Declarant need not be a party
29. Demasi v. Whitney Savings Bank,p. 378 – dead wife's signed statement against interest used against him.
30. Admissible against anyone.
2. Why is this ok?
1. people generally don’t make statements that hurt themselves, but when they do, we can have confidence that statement is true [but obviously don’t have huge confidence in exception, since unavailability must be proved].
2. Very high veracity, since speaking against self.
3. B/c supposed to be against interest when speaking, no worries about memory.
4. Concerns @ perception mitigated by reasonable person standard.
5. Ambiguity can be a problem.
3. Williamson v. United States (SCOTUS 1994, p. 381)
1. Facts: Harris both makes self-inculpatory and self-exculpatory statements. For the self-exculpatory part, he says that he was not going to sell the cocaine – rather, Williamson was going to sell it. The self-exculpatory statements were made while in custody.
2. Question: Does 804(b)(3) admit collateral neutral and collateral self-serving parts of an inculpatory narrative in criminal trial?
3. Holding: All justices agree should be reversed. Also note that all are concerned not just about collateral statements but also @ precise words against penal interest, since could have been self-serving confession.
4. O'C plurality: The rule “does not allow admission of non-self-inculpatory statements, even if made w/in generally self-inculpatory narrative. Court can't assume for 804(b)(3) that statement is self-inculpatory b/c part of confession, and this is especially true when statement implicates someone else.” [basically, need to cut out collateral neutral and collateral self-serving parts of narrative, can't just include on idea that made more reliable by presence of inculpatory portion].
5. BUT – this doesn’t eliminate statements by declarant which mention 3rd person, and facially neutral statements can still be “against interest”. If declarant says, “Sam and I went to Joe’s house,” that is against interest if reasonable person would believe that this would implicate him in Sam and Joe’s conspiracy [problem: How is “Sam and I went to Joe’s house” different from Harris’s statement that was transporting cocaine for Williamson? This is shift-the-blame/cooperative statement, also untrustworthy.]
6. A’s statement “I killed X” would be admissible against D if there is a charge of conspiracy between A and D.
7. Kennedy: Complicated balancing test – wouldn't automatically exclude collateral parts of statements but exclude those so “self-serving” to be “unreliable” & favor-currying statements to authority.
8. Problem: Kennedy's idea seems better for fact that would admit collateral parts of exculpatory statements against penal interest – i.e. “I robbed the bank alone” or “He had nothing to do w/ it” (Prob 4-N). After Williamson, Garvin can't use Torrin's statement exculpating him, since collateral and to the authorities. But statements exculpating someone else aren't as suspicious as blame-shifting or -sharing, right?
9. Ginsberg: An arrested person has strong incentive to shift blame in hope of leniency. Statement implicating another is inadmissible under Confrontation Clause. Throw it all out – talking to authorities
10. “Harris' arguably inculpatory statements too closely intertwined with his self-serving declarations to be ranked as trustworthy.”
4. Lilly v. Virginia (SCOTUS 1999, p. 394):
1. Holding: “To be admissible under Confrontation Clause, hearsay evidence used to convict a criminal D must possess indicia of reliability by virtue of inherent trustworthiness, not by reference to other evidence at trial.” When someone is in custody for serious crimes, knowledge that anything he says can be used against him and currying favor means low veracity. Declarant talking to authorities, responding to leading questions, and drunk. No dice.
2. Upshot: Lilly very fractured opinion, but upshot is that 3rd party statements “against interest” statements implicating criminal D could always present violation of confrontation rights.
3. State v. Schiappa (394): CN court allows “dual inculpatory statement” inculpating both declarant and criminal D. Is this ok after Williamson?
5. Statements Against Penal Interest Exonerating Accused (397)
1. FRE 804(b)(3): exculpatory statements against penal interest offered by an accused require corroboration
2. Corroboration may be reasons to trust veracity of declarant; factors corroborating content of statement.
3. What does this mean? To avoid people testifying that D didn't do it, rather someone who's dead [I'm offering dead Sam's inculpatory statement to exculpate the D.] [or A, already in jail for life, may confess to a crime to get B off], risk of false confessions (398).
4. Evidence supporting veracity could be a)against interest to unusual degree; b)repeated statement; c)couldn't be motivated to lie for accused [i.e. doesn't know D charged w/ crime]; d)spontaneity.
5. Statements by already incarcerated people are most suspect (400).
6. Must there be corroboration for inculpatory statements offered by pros?
7. No requirement – framers didn't think pros would use exception very often. BUT it's turned out that prosecutors use lots of 3rd party confessions implicating accused, and so some courts extend requirement to statements implicating D.
8. “He had nothing to do with it”
9. Some courts would let in, and some no.
6. FRE 807 Residual Exception.
1. A statement not specifically covered by Rule 803 or 804 but having equivalent circumstantial guarantees of trustworthiness, is not excluded by the hearsay rule, if the court determines that (A) the statement is offered as evidence of a material fact; (B) the statement is more probative on the point for which it is offered than any other evidence which the proponent can procure through reasonable efforts; and (C) the general purposes of these rules and the interests of justice will best be served by admission of the statement into evidence. However, a statement may not be admitted under this exception unless the proponent of it makes known to the adverse party sufficiently in advance of the trial or hearing to provide the adverse party with a fair opportunity to prepare to meet it, the proponent's intention to offer the statement and the particulars of it, including the name and address of the declarant.
2. General requirements
1. material fact
1. can't be offered to support fact of marginal importance
2. more probative than other evidence
1. you've tried to find other evidence to show this, or it's obvious this means is best
3. interests of justice
1. In practice, courts usually say interests of justice served when hearsay seems reliable, and interests not served when hearsay doesn't seem reliable.
4. notification to adversary
1. basically, job of the judge is to determine that doesn't fall into any traditional exceptions, but nonetheless is best evidence
3. State v. Weaver (IO 1996, p. 407)
1. Facts: Babysitter is charged w/ murder of dead child on basis of symptoms consistent w/ “shaken baby syndrome.” Weaver clearly thought she was innocent and waived right to jury trial. But nonetheless judge convicted her. Now this comes up on a motion for a new trial. Wants to introduce affidavits of women who heard baby's mother saying she'd fallen into table on day of death (day unsure), pointing to possibility that child had suffered injury before being placed in defendant’s care.
2. Question: given new evidence, should there be a new trial?
1. Relevant: affidavits tend to negate the claim that the cause of death was shaken baby syndrome.
2. BUT – testimony of what mother said is hearsay. What's our exception?
3. Burden of lawyers for Weaver is to convince court there is exception to admit evidence if new trial is held. Residual exception says “not specifically covered,” so you have to go through 803 and 804 first, nothing else works.
3. Would residual exception admit as trustworthy?
1. In Idaho v. Wright, J. O'C said that “inculpatory use of residual exception requires considering only the circumstances surrounding making of statement, not corroboration”
2. BUT – Wright doesn't govern Weaver, Confrontation Clause only protects the accused, not mother who wasn't D. This is exculpatory use of residual exception, Weaver wants to introduce this.
4. Other possibilities:
1. Could also admit to impeach, but not for their truth as “prior testimony” since mother wasn't under oath at time.
2. Would statements fit “against interest” exception 804(b)(3) – no, b/c mother didn't say she didn't anything to girl, just that she fell.
3. “near miss” debate – if it just misses criteria for another exception, can't be admitted (relevant in some states) (but this isn't in rules, so some judges ignore)
5. Factors supporting trustworthiness? (409)
1. Witnesses credible (no apparent motive to lie)
2. declarant available to testify
3. statement made shortly after incident (no memory issues)
4. declarant had 1st hand knowledge of substance of statement
5. statement unambiguous and explicit
6. statement in response to open-ended question, not result of interrogation
7. statement made to multiple person who agree on answer (consistency)
8. similar account made on other separate occasions
9. statement corroborated by medical evidence
6. Factors decreasing trustworthiness? (410)
1. passage of time (affidavits signed 3 years after mother's statement)
2. affiants exposure to media coverage
3. collective memory efforts – affidavits are nearly identical (basically, 1 lawyer prepared all of them)
4. Catchall Exception and Child Abuse Prosecutions (413)
1. Generally:
1. Many cases use the catchall to admit statements by child victims of abuse (sexual or otherwise). Here as elsewhere, the burden is on the proponent to show trustworthiness and there are numerous cases in which the child victim statements are excluded, but often the statements are admitted.
2. Factors bearing on determination of trustworthiness of child victim report:
1. precocious knowledge (more trustworthy if something she couldn't have made up w/o experiencing)
2. age-appropriate language (statement should be phrased in terms one would expect of child)
3. behavioral changes (fearful of men, sleep disturbance, etc)
4. general demeanor and affect; indications of pain or emotional upset
5. spontaneity
6. presence/absence of bias/other motives on part of speaker or reporting witnesses
7. signs of tension/disagreement b/t child and person accused of abuse
8. training and techniques of people who talk to child
9. (what if her job is to investigate or assist in prosecution of crime?)
10. number and consistency of repetitions of the basic story
11. character of the child
3. Problems w/ this use:
1. Idaho v. Wright: statements offered uder catchall must satisfy constitutional standard of trustworthiness b/f being used against Ds, and trustworthiness to be determined w/o reference to external corroboration (415)
2. Use primary exceptions b/f residual – i.e. if it fits 803(4) statement to physician, use that instead of catchall.
5. CONSTITUTION AS A BAR AGAINST HEARSAY (359-388, handout) (4th,5th, 6th, 14th Amendments)
1. Confrontation Clause (6th Amendment)
1. “In all criminal prosecutions, the accused shall enjoy the right . . . to be confronted with the witnesses against him.”
2. Confrontation is an issue raised only in criminal cases when there is hearsay evidence offered against the defendant
1. What does this mean and how can we know?
1. History only (“original intent”) -- can we know it? (see Crawford)
2. History + policy
3. Linguistically possible meanings (none adopted)
4. All evidence against an accused must come from the witness stand where the accused can confront it (invalidates all hearsay exceptions)
5. Out of court statements can be admitted against an accused but only if the state produces the declarant for cross-examination. [Variation 1: unless the declarant is unavailable / Variation 2: If the declarant is available, state may not use the out of court statement at all]
6. The accused has a right to confront any witnesses whom the state calls to testify, but the state is free to adopt evidence rules that dispense with live testimony [The clause says only that the accused has a right to confront “witnesses” and a declarant is not a witness.]
2. What's the relation b/t Confrontation Clause and hearsay (rule and exceptions)? Does Confrontation Clause constitutionalize hearsay rule?
1. Obviously some level of constitutionalization of rule against hearsay and exceptions. Limits introduction of out-of-court statements against accused.
3. BASIC RIGHTS
1. To be present at trial
1. Unless forfeited by disruptive behavior – Illinois v. Allen (359)
2. Or by the accused’s voluntary absence after trial has begun – Taylor (359)
2. To have prosecution witnesses present at trial
1. prosecution witnesses must be produced or shown to be unavailable
2. Because if the declarant isn’t brought in to testify, then the defendant seemingly loses the right to confront that witness
3. Basically, accused should be able to challenge the statement by questioning the declarant, not just questioning person who relates what declarant said
4. We want the declarant to be under oath, in the courtroom, where it is difficult to just make up stories. We believe that looking somebody in the face and seeing their body language helps us evaluate whether they are telling the truth.
3. To have personal view of the witnesses in most cases
1. We also want the declarant to be able to look the accused in the eye – the declarant knows accused is there, which makes it harder for declarant to lie.
2. Coy v. Iowa (SCOTUS 1988, p. 359) condemning use of screen separating teenage girl from D in sex assault case, designed to let him see her but shielding her from seeing him.
3. BUT Maryland v. Craig (SCOTUS 1990, p. 359): Supreme Court approved the use of closed circuit tv to present the testimony of a young sexual assault victim when there was a case-specific finding that this procedure was necessary to protect the welfare of the child
4. Modern era:
1. Pointer v. Texas (SCOTUS 1965, p. 361):
1. Question: is preliminary hearing testimony is admissible against an accused who had no counsel at hearing?
2. Holding: NO! Right of Confrontation is binding on the states. Court forbids use of unavailable declarant's prior testimony where accused had no lawyer
3. Ruling “would have been different had D been represented by counsel who had opportunity to XE”
4. Upshot: Does this mean that prior XE (or just opportunity) would satisfy?
2. Douglas v. Alabama (SCOTUS 1965, p. 361): Prosecution can't get out-of-court statements in by testifying witnesses who refuse to be XEd by the defense under guise of XE by prosecution. D must be able to XE himself.
1. Douglas suggests Clause might be satisfied by deferred XE on prior statement if declarant acknowledges statement as his.
3. Barber v. Page (SCOTUS 1968, p. 361)
1. Before prior testimony can be admitted, even where the accused had counsel who did cross-examine the witness, the state has to show that it was unable to obtain the declarant as a witness in the current matter
2. Here, “everyone knew” declarant was in jail, and pros made no effort to secure availability.
3. This answers Pointer's “just prior XE” question: NO.
4. California v. Green (SCOTUS 1970, p. 361):
1. Holding: allows use of statements by witness forgetful at trial but who previously incriminated D in conversation w/ police officer.
2. Upshot: 2 kinds of prior statements are all right
3. Prior statement of witness who testifies at trial and is available to be cross-examined on the statement
4. Prior preliminary hearing testimony where accused had counsel whether or not the declarant is available for trial
5. Green may be bad law after Crawford
5. Dutton v. Evans (SCOTUS 1970, p. 362)
1. Allows statement coming in under co-conspirator exception even though declarant never testified and statement thus never tested by XE.
2. Holding: Confrontation Clause satisfied if statement possessed “indicia of reliability” similar to factors underlying traditional hearsay exceptions (veracity, memory, ambiguity, perception).
3. BUT – message of Dutton unclear b/c Court stressed specific facts of case
4. speaker participated in crime and no issue of memory
5. only obliquely incriminated D – no express assertion @ past fact
6. D could have subpeonaed declarant, but chose not to.
5. Modern doctrine up to Crawford
1. Different theories
1. Minimalist Theory:
2. The Clause only speaks to live testimony and has nothing to say about out of court statements.
3. Entitles accused to be present and XE witnesses who testify but does not stop pros from offering testimonial accounts of what others have said.
4. This view was endorsed by Wigmore, and by Justice Harlan in Dutton v. Evans concurring opinion.
5. Production Theory
6. The Clause requires the prosecutor to produce an available declarant in preference to his out-of-court statement, but has nothing to say about statements by people who are unavailable and so should not exclude statements by declarants who can't be produced. This view is advanced in an article by Westen.
7. Reliability Theory
8. The Clause sets a constitutional standard of reliability for hearsay statements offered against the accused that works independently of the hearsay doctrine, although concerns over reliability may be satisfied by circumstances similar to those considered in applying hearsay exceptions, and reliability is unimportant (or less so) if the accused can cross-examination the declarant.
9. This is adopted in Roberts.
10. Testimonial Theory (variant of minimalist theory)
11. Clause applies to “testimonial” statements (at least where declarant can't be XEd), and refers at least to statements to law enforcement describing crimes where purpose is to aid prosecution or trying of alleged culprit.
12. SCOTUS adopted this view in Crawford.
13. This is Thomas and Scalia concurrence in White v. Illinois, and Breyer in Lilly v. Virginia.
2. Ohio v. Roberts (SCOTUS 1980, p. 363)
1. Facts: Trial of Roberts for stealing credit cards and checks. He argues that Anita Issacs gave them to him and said he could use them. D lawyer calls Anita Isaacs in the preliminary hearing, and questions her about the underlying events. She contradicts Roberts’ defense. The hearing ends and Anita runs away. Nobody knows where she is. The bullet that sunk Roberts’ ship was his lawyer’s decision to have a direct examination of Isaacs.
2. Holding: The preliminary hearing testimony is properly admitted.
3. All elements of admission met: Even though Roberts’ lawyer called Isaacs on direct, Justice Blackmun says that he had opportunity to launch redirect, which is enough for the confrontation clause.
4. Rule after Roberts:
5. Establish unavailability. Blackmun says that the clause prefers live testimony. The State must establish the declarant’s unavailability before out-of-court statement can be used [but escape clause in footnote says unavailablity “not always required” (367)]
6. Firmly rooted. If declarant is unavailable, the hearsay must possess “indicia of reliability.” BUT – reliability “can be inferred without more . . . where the evidence falls within a firmly rooted hearsay exception.” Otherwise, state must show particularized guarantees of trustworthiness (see FRE 807).
7. Firmly rooted: idea that most traditional exceptions are best, since have been accepted for the most time (list on p. 367)
8. Business records
9. Dying declarations
10. public records
11. co-conspirator statements
12. excited utterances
13. medical diagnosis or treatment
14. NOT declarations against interest; catchall exceptions
15. Problems here:
16. Is Anita really unavailable? State didn't try so hard to find her before using prior testimony – she just moved to CA, gov't should have looked there
17. If a declarant is produced, Roberts takes no position on whether a state hearsay exception may permit use of the hearsay, too
18. Does Roberts mean that in a criminal prosecution the state cannot utilize the traditional hearsay exceptions unless it produces the declarant – not matter how trustworthy?
19. When is an exception “firmly rooted?” (present sense impression?)
20. What does “particularized guarantees of trustworthiness” mean?
21. What about Dutton v. Evans (Roberts n. 7): “If it hadn’t been for that dirty son-of-a-bitch Alex Evans, we wouldn’t be in this now.
3. Post-Roberts line: How much of Roberts suvives?
1. United States v. Inadi (SCOTUS 1985, p. 367) (see p. 26 outline)
2. Holding: Roberts doesn't require unavailability for co-conspirator exception, and this “unavailable” prong might actually apply only to statements offered as prior testimony.
3. Bourjaily (p. 26 outline)
4. Court approves use of co-con exception even w/ bootstrapping problem. Minimize Roberts requirements, saying requirements of 1)unavailability and 2)independent indicia of reliability only general ideas. In US v. Inadi, we held that the first of these two generalized inquiries, unavailability, was not required when the hearsay statement is the out-of-court declaration of a co-con. Today, we conclude that second inquiry, independent indicia of reliability, is also not mandated by Constitution.
5. Bourjaily was break w/ tradition -- previously judge had to be satisifed that statement was made in furtherance of conspiracy and that conspiracy both declarant and D without considering the statement itself as evidence of conspiracy. After B, could consider statement – FRE 802 – can be part but not all of evidence
6. J. Black thinks that changes FRE made to co-con exception make it no longer “firmly rooted”. Court rejects idea that abolishing bootstrapping made any less firmly rooted.
7. White v. Illinois (SCOTUS 1992, p. 367):
8. Holding: No unavailability requirement for excited utterance and statement for medical treatment and diagnosis. Statements fitting firmly rooted exceptions for excited utterance and medical statements have sufficient guarantees of reliability for Clause.
9. “[Roberts] says that unavailability analysis is necessary part of the Confrontation Clause inquiry only when challenged out-of-court statements were made in the course of a prior judicial proceeding.”
10. Prefer live testimony, but take prior if D had opportunity to XE.
11. Thomas/Scalia in White: new theory urging reconsideration of confrontation clause jurisprudence “in an appropriate case.” That becomes Crawford v. Washington . . .
6. Crawford v. Washington (SCOTUS 2004, p. 368)
1. Facts: Sylvia and Michael are married and Michael has stabbed someone (he claims self-D). After incident, both are arrested and Mirandized. Statements recorded. Her Mirandized statement contradicts part of his self-D defense. Pros can't call her directly, since spousal privilege lets M refuse to allow non-party wife to testify for the state. State offers her recorded statement instead, and, applying Roberts, finds particularized guarantees of trustworthiness (as usual in statements implicating others) and admits statement. Michael is convicted of assault.
2. Question: Can testimonial hearsay statements be offered against the defendant if the declarant doesn’t testify & wasn’t subject to prior cross examination?
3. Idea: Originalism! The “principal evil at which Confrontation Clause directed” was use of ex parte examinations as evidence against D. Means “witness” has broader meaning than person testifying in court – can also be person who spoke out of court and whose testimony now used in court against you.
4. Holding:
1. “The Framers would not have allowed admission of testimonial statements of a witness who did not appear at trial unless he was unavailable to testify, and the defendant had had a prior opportunity for cross-examination. Sixth Amendment does not suggest open-ended exceptions from confrontation requirement to be developed by the courts.”
2. “Framers thought prior oppor to XE was dispositive, and not merely one of several ways to establish reliability.”
3. “Statements taken by police officers in the course of interrogations are also testimonial under even a narrow standard. Police interrogations bear a striking resemblance to examinations by justices of the peace in England.”
5. Upshot:
1. Declarant is a witness if what is offered is his out-of-court testimony. If it's testimonial, he's a witness; if not, he's not.
2. Once you decide something's testimonial, accused must have had chance to XE on this evidence. W/o prior opportunity to XE, it is inadmissible. Roberts would say – unless particularized guarantees of trustworthiness or firmly rooted hearsay exception. Crawford ends this open-ended exception.
3. Remember no bar testimonial statements that haven't been XEd for purposes other than matter asserted, i.e. impeachment (382).
4. Crawford can be seen as rebuke to lower courts for not respecting Roberts.
5. BUT – Court doesn't define testimonial!
6. What is effect of Crawford?
1. Basic Crawford analysis: If a hearsay statement is offered against the defendant in a criminal trial – is the statement testimonial?
2. If not – admissible if there’s an exception to allow it
3. If so – step two —> was there cross-examination at the time the statement was made or can the declarant now be produced for deferred cross? If yes, admissible. If no, excluded under 6th Amend.
4. How can Crawford be read to extend Confrontation Clause protections from Roberts?
5. Once we say evidence is testimonial, and dec is not produced, and there was no prior opportunity to X on this evidence, the statement goes out;
6. trial court can't just analyze w/ Roberts and say “so trustworthy.”
7. Or does it narrow Roberts protection?
8. How broad is category of testimonial? Everything depends on that. If it's not testimonial, maybe can still use Roberts “particularized guarantees of trustworthiness”
9. Assuming out of court declaration not testimonial, we don't have sanctuary of Crawford requirements. We don't know after Crawford whether statement even has to appear trustworthy under Roberts, and courts won't want to use a case that's been trashed so much. Basically, if it's non-testimonial, is Confr Clause irrelevant?
10. Possibilities:
11. Roberts survives in some form for non-testimonial hearsay
12. No const. protection against non-testimonial hearsay, all statutory
13. Some protection, but not Roberts, there is another test (what test?)
14. liberal wing of court accepts that Confront Clause doesn't apply to non-testimonial cases, but will look to other const. provisions to measure acceptability of non-test hearsay (i.e. due process)
15. Basically, accused could definitely be less protected than under Roberts, b/c no longer required indicia of trustworthiness --
7. What's testimonial?
1. Scalia said it applies “at a minimum to prior testimony at a preliminary hearing, before a grand jury, or a former trial; and to police interrogations”
2. NOT business records or co-conspirator statements.
3. Possible but not definite testimonial statements –
4. Ex parte in-court testimony or its functional equivalent… or similar pretrial statements that declarants would reasonably expect to by used prosecutorially.
5. Extrajudicial statements…
6. Statements that were made under circumstances which would lead an objective witness reasonably to believe that the statements would be available for use at a later trial
7. Probably no:
8. On scene investigations and identifications – prob not testimonial, People v. Diaz. But if declarant is unavailable, inadmissible anyway b/c no chance for prior cross.
9. 911 calls – prob not generally testimonial (see Davis)
10. Look to formal circumstances, whether statements are signed, indications and recognition that the statement will be used for purposes of prosecution
11. Whose perspective?
12. Perspective of the declarant – used in most hearsay analyses
13. Perspective of the questioner, receiver of the statement. Concern about listener’s prosecution/litigation motives
14. Perspective of an objective witness – 3rd party hypothetical observer
15. And if statement is not testimonial, what standard applies?
16. Maybe still apply Roberts, but it was thoroughly criticized
17. Let the states figure it out?
8. What exceptions are still OK, what not?
1. Non-testimonial or otherwise admissible statements:
2. Rule 801(d)(1) prior statements of testifying witnesses – requires witness to be available to XE. By definition, you have oppo to XE.
3. Rule 801(d)(2)(A-D) admissions, including vicarious admissions – ordinarily won't be a problem, since declarant should be available as witness
4. Co-conspirator statements (801(d)(2)(E)) (Crawford says non-test)
5. Business records (803(6)) (also mentioned as non-testimonial)
6. Unclear (non-testimonial? Could they come in w/o XE? Does it depend on motive of speaker? Listener? The identity of listener? Whether declarant responds to open-ended questions? How would Roberts have handled?)
7. Present sense impressions (803(1)) – what about 911 call in domestic abuse – child or spouse calls, but then decl unavailable to testify. Statement being made to law enforcement – 911 operator.
8. Excited utterance (803(2))
9. Statements of memory or belief (803(3))
10. Statements for medical diagnosis etc. (803(4))
11. Does White survive Crawford?
12. In White, the child sex abuse victim made her statements incriminating defendant to her baby sitter (immediately after abuse), her mother (30 minutes later), a police officer (45 minutes later), and an emergency room nurse and doctor (four hours later).
13. Statement to police officer would be excluded under Crawford b/c that's exactly the kind of statement Sylvia made in Crawford
14. Prior testimony (804(b)(1))?
15. What if person w/ same motives had oppor to XE (i.e. Lloyd).
16. Dying declaration 804(b)(2)
17. Scalia admits it stays as exception, but what if given to cop on scene b/c investigating crime? Under Crawford, shouldn't be admitted, b/c declarant not available and no oppo to XE
18. BUT – this is one of oldest exceptions – how do we square originalist approach to exclude these? Could be irreconcilable – or court could admit as historical – but once you get rid of the strict rule you have to start considering piecemeal again.
19. “Dr. Shepard has poisoned me” -- info given not to officer, but 3rd party. Are testimonial statements limited to law enforcement, or law + people working for police? Look to motive of declarant in revealing info to non-officer.
20. Declarations against interest 804(b)(3)
21. in custody tossed out -- what about out-of-custody? Williamson eliminated exculpatory statements against penal interest that inculpated a 3rd person – what about a statement inculpating a 3rd person made to a non-law enforcement statement? Is law enforcement as receiver of statement essential for testimonial?
22. Public Records 803(8)
23. What if Congress or a state were to kill limitations in (B) and (C)?
24. Lab reports? (U.S. v. Oates)
9. What about Statements Subject to Prior or Later XE? (383)
1. Prior XE – see California v. Green (SCOTUS 1970):
2. What is an “opportunity”? In Roberts, was preliminary hearing testimony by Anita Roberts an opportunity?
3. What about “motive”? D might not like to XE at preliminary hearing – reveals strategy, etc. Lots will waive XE there. Does that count as opportunity for purposes of 805(b)(1) and Crawford? Dominant view is opportunity enough, others might say no if only “nominal.” If you avoid XE, is that waiver? (385)
4. What about memory loss at trial? If he testifies to a lack of memory concerning subject matter of the prior testimony, he's unavailable for purposes of Confrontation Clause. Statement can come in, since prior XE and unavailability are requirements of Crawford.
5. Deferred XE (385)
6. Green: deferred XE is good enough as long as declarant acknowledges making the prior statement, even if he repudiates it. Confrontation provides for an oath, XE, and demeanor evidence, all of which you can get w/ deferred XE (but Green might be wrong after Crawford, p. 388).
7. What if lack of memory blocks attempt to test what he said before? “Even an unremembering witness is adequately XEable” (387: Foster hit on the head, admits he can't remember seeing assailant).
8. “Even a witness who denies making a statement can be XEd” (387).
9. “Expert testimony should be admitted even though, when XEd, expert admits he can't remember what conclusion rested on” (388).
10. Upshot: only in situation where witness refuses to be sworn or say anything will court entertain idea of “unavailability.”
7. Davis v. Washington (SCOTUS 2006, handout)
1. Facts: Actually two cases.
1. Davis: a 911 call made by a woman whose boyfriend was beating her.
2. Hammon: police came to house after neighbor reported domestic disturbance. Amy Hammon responded initially that nothing was wrong, then filled out battery at officer's insistence.
2. Question: Are these statements testimonial?
3. Holding:
1. Davis call is not testimonial, since
2. ongoing emergency and
3. circumstances indicate that primary purpose of questioning was to deal w/ ongoing emergency.
4. Complainant speaking about events as they were actually happening rather than describing past events (p. 8).
5. Even operators attempts to get name of assailant was to help deal w/ emergency, so police might know who they're dealing with
6. BUT – statements that are initially non-testimonial can become testimonial, as here (9).
7. Hammon is testimonial,
8. since circumstances indicate there is no ongoing emergency, and
9. primary purpose is to establish or prove past events potentially relevant to later criminal prosecution.
10. No immediate threat to Amy. Time of danger removed (10)
11. More formal than Davis questioning – officer even separated Amy from husband, saying needed to have her replies for his “investigation.”
12. Understand concern in domestic violence cases about getting declarant to testify. BUT this is fixed by forfeiture rule – “when Ds seek to undermine judicial process by procuring or coercing silence from witnessess, they forfeit right to confrontation” (11).
4. Why did all these liberals join Scalia in Crawford and Davis
1. Liberals don't know & don't care @ originalist Confr. Clause argument. Not against (originalism), just think not sole basis of interpretation.
2. Originalism of Scalia and Thomas is dim. Maybe drafters actually had original intent of freeing us from their original intent!
3. “Originalism cannot provide valid justifications for contemporary criminal procedure rulings because the authentic history involves far more discontinuity than is commonly expected. The real past is foreign.
4. BUT – although Crawford and Davis bury Roberts, there are other ways to check abusive state exceptions for non-testimonial hearsay.
5. Roberts provided no check on “firmly rooted” hearsay exceptions in any event. And its requirement of “particularized guarantees of trustworthiness” for other exceptions, intended as a shield, was often ignored by lower courts (a point Scalia makes in Crawford).
6. state courts would look to language as license to find “particularized guarantees,” so not really losing anything in forfeiting this section of Roberts.
5. Thomas dissent (12)
1. Wants to limit testimonial statements to those most closely resembling the civil-law mode of criminal procedure under Queen Mary. WTF? Total focus on framer intent, but how can he really be so sure?
2. Interactions b/t police and accused or witnesses only resemble Marian proceedings when they are rendered “formal,” i.e. by Miranda warnings – gives solemnity to process not normally there in chat b/t witness and cop
8. After Davis
1. Did Crawford overrule all of Roberts? Two ideas in Davis suggest no --
1. “Crawford's construction of text of Confrontation Clause must be said to mark not merely the core, but the perimeter”
2. We overruled Roberts in Crawford by restoring unavailability and X requirements
3. this could say that C overrules R to this extent of testimonial hearsay – but not more
2. Is there any constitutional limitation on non-testimonial hearsay? Maybe in the Confrontation Clause, despite Davis?
1. Due Process clause
2. E.g., due process does not allow the use of evidence that is unreliable or if cross-examination would likely be able to diminish its probative force.
3. requirement that guilt be proved beyond a reasonable doubt (In re Winship)
4. A court can still decide that as a matter of law the evidence is insufficient to establish guilt beyond a reasonable doubt.
5. i.e. no objective person could believe unreliable, un-XEd evidence
3. How does Davis differ from Crawford?
1. McCottry was speaking about unfolding events, not past ones, hours later.
2. everyone worried that 9-11 call would be excluded after Crawford (family abuse, declarant not available to testify, all we'll have is 9-11 tape – she's either afraid, or forbidden by privilege)
3. Here, Court alleviates fear – plainly a “call for help”
4. The interrogation was for the purpose of resolving the present emergency, not to learn historical facts.
5. Formality of interrogation in Crawford (at station house) vs. McCottry’s frantic answers over the phone.
6. You conclude from all this that circumstances of McCotry's “interrogation” (which is very specific word – Scalia using to hold majority together) has primary purpose of enabling police to meet ongoing emergency
4. How does Hammon differ from Davis?
1. No emergency, police show up, fight's over she tells them it's ok
2. someone else calls 9-11
3. Test is objective, and “objectively viewed, primary purpose of interrogation was to investigate possible crime – which was proper on part of officer”
5. Forfeiture
1. Forfeiture is now important b/c courts can't rely on Roberts test of reliability to admit testimonial hearsay. Davis – prosecutors can't say “it's trustworthy”, but they can argue that D did something to cause unavailability
2. Davis: “While defendants have no duty to assist the State in proving their guilt, they do have the duty to refrain from acting in ways that destroy the integrity of the criminal-trial system. We reiterate what we said in Crawford: that "the rule of forfeiture by wrongdoing ... extinguishes confrontation claims on essentially equitable grounds."
3. Rule of forfeiture by wrongdoing destroys confrontation clause claims on equitable grounds
4. Would D's assertion of privilege in Crawford constitute forfeiture? No, w/ right of privilege, shouldn't have to pay price for using right
6. What is testimonial?
1. Basically, there are issues in the text that Scalia takes care not to resolve in order to hold the majority.
2. “Without attempting to produce an exhaustive list of all conceivable statements as either testimonial or nontestimonial
3. though these two cases involve types of interrogation, not saying that testimonial hearsay is only police interrogation – statements to private persons can still be testimonial under formulation
4. This shows future battle lines – doesn't need to be resolved here, b/c doesn't matter on facts of case. This is a “papered over” issue: Is interrogation a prerequisite to “testimonial?”
5. Statements are nontestimonial
6. when made in the course of police interrogation under circumstances objectively indicating that the primary purpose of the interrogation is to enable police assistance to meet an ongoing emergency.
7. Public Records? Lab reports on controlled substances not (no judging, chemists do the tests every day)
8. They are testimonial
9. when the circumstances objectively indicate that there is no such ongoing emergency, and that the primary purpose of the interrogation is to establish or prove past events potentially relevant to later criminal prosecution.”
10. Formal statements to authorities? Yes testimonial
11. Responses to police investigators (even open ended qs) in informal settings like Hammon, depending on the “primary purpose?” Yes.
12. Also, once emergency ends (i.e., in Davis), non-testimonial conversation can become testimonial
13. Open question:
14. statements of past events to persons other than law enforcement where primary purpose is to establish past events potentially relevant to later criminal prosecution? [Whose purpose are we concerned with? Speaker could just be talking, not “establishing” anything. What about statements to private persons if the purpose of either the speaker or listener is to provide information to law enforcement? E.g., In prosecution of Hershel for theft where Amy Issacs is unavailable – she said to friend years before something about “that creep Hershel who forged her name on a check.” Prosecution offers as non-testimonial – not to law enforcement, and may not even be in response to a question – just two friends talking.
15. After Davis, we don't really know– state court using Roberts test might have hard time finding “particularized guarantees.” But this is the papered-over issue – “[O]ur holding today makes it unnecessary to consider whether and when statements made to someone other than law enforcement personnel are ‘testimonial.’"
16. Autopsy reports? a lot more judgment involved than in lab reports – looking for evidence that death may not have been accidental, but rather criminal. At this point, medical examiner operating as law enforcement. But – may not be possible to duplicate the autopsy – depending on cause of death, maybe can't do redo (i.e., body's been cremated). [2nd Circuit just ruled that ruling on medical examiner who didn't do autopsy could testify at trial b/c not covered by Crawford: “Medical examiner not part of law enforcement team.” Pushes boundaries of Crawford to say not testimonial – but also efficiency suggests that medical examinations should go on/]
17. Matters observed by police: In vehicular homicide, police take measurements of blood alcohol levels, skid marks, condition and location of vehicles? Statement of the officer, but matters observed, not judgment. Anyway, maybe SCOTUS doesn't have to deal w/ this, b/c cases will come up out of states with rules like FRE 803(8) limiting use of public reports against accused.
18. Doctors interviewing abuse patients. Mostly just make medical recommendations, but also do some investigations (forensic purpose). Once you take it out of medical diagnosis and treatment, and start doing tests to see what happened, it becomes testimonial
6. RELEVANCE REVISITED
1. Generally
1. Art. 4 states special rules of relevance.
1. Rule 401 (Definition of ‘‘Relevant Evidence’’)
1. Relevant evidence means evidence having any tendency to make the existence of any fact that is of consequence to the determination of the action more probable or less probable than it would be without the evidence.
2. This is very loose -- “any tendency”
2. BUT Rule 403 (Exclusion of Relevant Evidence)
1. Although relevant, evidence may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or misleading the jury, or by considerations of undue delay, waste of time, or needless presentation of cumulative evidence.
2. Gives judge exclusionary authority – can exclude things that would be so prejudicial that even a limiting instruction can't cure
3. Rules 404-415
1. refine the general provisions in Rules 401-403 to deal with certain recurring issues [specific admissions or exclusion of otherwise relevant evidence]
2. Some rules seem designed precisely to exclude certain things from the factfinder’s consideration, other rules seem designed to bring the same evidence directly into consideration
3. Mostly, these rules limit the admissibility of certain categories of evidence by excluding their use for certain purposes or by specifically allowing their admission but only for certain designated purposes.
4. Even when evidence is admissible under Rules 404-415, the trial judge retains power to exclude the evidence under Rule 403.
2. Character Evidence
1. Relevancy and Form (465)
1. Character as evidence of conduct
1. suggest probative patterns of behavior, tells us something about likelihood that person would or wouldn't do certain acts “by disposition”.
2. Propensity argument “which justifies using evidence of character as substantive evidence of conduct on specific occasion”
3. weight of evidence turns on inclination in question
2. Form of the evidence (all involving character witnesses)
1. witness could describe acts by person indicting existence of trait
2. give person opinion that person is “honest” or “deceitful”
3. testify that he is by general reputation honest or deceitful
4. common law restricted character evidence to “reputation”
3. Regulating Scheme: FRE 404 and 05 generally preserve rules of common law.
1. FRE 404(a) Character evidence generally Evidence of a person's character or a trait of character is not admissible for the purpose of proving action in conformity therewith on a particular occasion, except . . .
2. Judge makes sure that proponent's offer of proof satisfies all hurdles in FRE (relevancy, hearsay, impeachment). She screens out info that is either inadmissible, or that chooses not to permit.
3. So judge has to think about how ordinary people would view situation – appeal should be to popular sense of right or wrong
4. General traits -- he's peaceable, trustworthy, etc. Not not admissible to show that particular person acted in conformity w/ character trait EXCEPT as under 404(a)(1), (2), and (3).
5. Why do we need it, if it's very subjective and maybe unreliable?
6. Allows jury to understand that accused would never have done crime he's accused of. Reputation, even if silly, comprises opinions of others who know the person.
7. Rule 405 tells us how to prove pertinent character trait --
2. Character to Prove Conduct on Particular Occasion
1. 404(a)(1) Character of accused. In a criminal case, evidence of a pertinent trait of character offered by an accused, or by the prosecution to rebut the same, or if evidence of a trait of character of the alleged victim of the crime is offered by an accused and admitted under Rule 404 (a)(2), evidence of the same trait of character of the accused offered by the prosecution
1. Basically, door baseline closed to info @ character of criminal D. Prosecution can't start UNLESS D brings up, at which point pros can always counter that by showing that D actually doesn't have trait and even has opposite.
2. If the D “opens the door” to evidence of her “pertinent trait” as described, the P can then offer contrary evidence on that specific trait in D in rebuttal, but not otherwise.
3. Also, if D “opens door” to a trait of the victim’s (Rule 404(a)(2)), P can offer evidence of the same trait with regard to the accused (D).
4. What is a pertinent character trait? (469)
5. Depends on charges. If it's battery, “honest” isn't pertinent, but “nonviolent” is.
6. Level of specificity?
7. General proof that D is “law-abiding” seems marginally relevant in all cases, and judges usually admit.
2. FRE 404(a)(2) Character of alleged victim. Evidence In a criminal case, and subject to the limitations imposed by Rule 412, evidence of a pertinent trait of character of the alleged victim of the crime offered by an accused, or by the prosecution to rebut the same, or evidence of a character trait of peacefulness of the alleged victim offered by the prosecution in a homicide case to rebut evidence that the alleged victim was the first aggressor;
1. in non-homicide (and non-rape, see Rule 412) criminal case
2. If D offers evidence of a “pertinent trait” of the victim, P can rebut with contrary evidence of that trait in the victim.
3. If D says “he was very aggressive, and so I felt need to defend myself,” pros can introduce contrary evidence b/c D started discussion of character. If D just says “It was self-D,” maybe not.
4. you can introduce evidence of victim's character like this by claiming that you were reasonable to fight back b/c you knew that he had a reputation for violence (471-72).
5. In a homicide case,
6. the prosecutor can offer evidence of a particular character trait of the victim (“peacefulness”) if the D alleges that the victim was the “first aggressor.” If he says “it was self-D”, P can introduce evidence of victim character. Why? Victim's dead, and so real need for pros to bring in evidence tending to negate that victim was aggressor.
3. FRE 405 Methods of Proving Character
1. FRE 405(a) Reputation or Opinion. In all cases in which evidence of character or a trait of character of a person is admissible, proof may be made by testimony as to reputation or by testimony in the form of an opinion. On cross-examination, inquiry is allowable into relevant specific instances of conduct.
2. At common law, could only be “reputation” testimony. Not your opinion, but rather what community thinks (isn't this hearsay problem? There's actually an exception for this – 803(21))
3. Price to pay for D who chooses to do this is that P gets to start talking about you, but you get advantage of charisma and statute of witness who comes in to testify to reputation.
4. If D calls a character witness (CW) to testify to a trait of D, P can:
5. Call a rebuttal character witness
6. Cross-examine D’s witness with specific instances of conduct that contradict the opinion or reputation testimony so long as P has a good faith basis for asking
7. If D calls a CW witness to testify to V’s (victim’s) character, P can:
8. Call a CW to testify to D’s character for the same trait
9. Call a CW to testify to V’s character for the same trait
10. Cross examine D’s CW as stated in above
11. In homicide case,
12. Whenever P calls a CW to say victim was “peaceable”, D can XE (good faith basis for questions, etc, as described above).
13. On redirect, the proponent of the CW is likely to be allowed (subject to trial judge discretion) to ask about specific instances (and certainly about those instances elicited on cross) even though the rules only specify the use of these on cross.
14. FRE 405(b) Specific Instances of Conduct. In cases in which character or a trait of character of a person is an essential element of a charge, claim, or defense, proof may also be made of specific instances of that person's conduct.
15. Criminal D would get this in by saying his “self-D” behavior was reasonable b/c he knew that victim had been violent on specific occasions in past, therefore special self-protection necessary.
16. Sometimes (occasionally), you have to prove character actually as part of defense. Usually secondary – i.e. assault case – character witness says that Joe, in my opinion and opinion of the community, is peaceable person.
4. XE and Rebuttal
1. When criminal D calls character witness to testify to good character, a pros may XE about about incidents from past even if couldn't be shown bad.
2. Should we require pros to have good-faith basis for questions?
5. Civil Cases (474)
1. Character evidence is never admissible in civil cases BUT will sometimes be allowed when underlying conduct is criminal in nature.
2. EXCEPTION:
3. FRE 415. Evidence of Similar Acts in Civil Cases Concerning Sexual Assault or Child Molestation. (a) In a civil case in which a claim for damages or other relief is predicated on a party's alleged commission of conduct constituting an offense of sexual assault or child molestation, evidence of that party's commission of another offense or offenses of sexual assault or child molestation is admissible and may be considered as provided in Rule 413 and Rule 414 of these rules.
4. Basically, P can prove that D committed other offenses of sexual assault, which may be considered for any purpose.
3. Character as an Element of a Charge, Claim, or Defense (475)
1. FRE 405(b) Specific Instances of Conduct. In cases in which character or a trait of character of a person is an essential element of a charge, claim, or defense, proof may also be made of specific instances of that person's conduct.
2. Criminal Cases:
1. Under 404(a) exceptions, accused may use character evidence to show he didn't commit crime.
2. When character evidence admitted as proof of conduct, must be opinion or reputation rather than proof of specific instances.
3. BUT – Rule 404 doesn't bar evidence of character when offered for reasons other than to prove conduct on specific occasion. I.e. --
4. When is character an essential element of charge or defense (405(b))?
5. NEVER in criminal cases. We don't convict someone b/c he's “bad,” and you're not require to show you're “good.” Can be relevant, but not an essential element.
6. Maybe in entrapment defense? I wouldn't have done this unless the gov't talked me into it. See, my character indicates I'm law abiding.
3. Civil Cases
1. Defamation
2. Truth is element of defense in defamation suit.
3. Negligent Entrustment
4. P must show 3rd party by disposition careless in order to show D negligent to trust him with equipment (etc).
5. Child custody
6. Relative parental fitness = character
7. wrongful death
8. Amount of recoverable $ may turn on “worth” of decedent to P. P will receive less if decedent was “shiftless,” “compulsive gambler” etc.
9. In general:
10. D can use evidence of other specific acts to show P's reputation not injured by alleged defamation, but rather P's own bad character
4. Prior Acts as Proof of Motive, Intent, Plan, and Related Points
1. FRE 404(b) Other crimes, wrongs, acts. Evidence of other crimes, wrongs, or acts is not admissible to prove the character of a person in order to show action in conformity therewith. It may, however, be admissible for other purposes, such as proof of motive, opportunity, intent, preparation, plan, knowledge, identity, or absence of mistake or accident, provided that [notice requirement described].
2. General idea:
1. Basically, pros can't introduce evidence of earlier crimes (i.e. “She's a Known Thief!”).
2. INTENT:
3. gov't offers evidence that on some other occasion D sold drugs to show that on this occasion he intended to sell drugs in possession
4. Risk of prejudice obviously high --
5. won't work if D actually contests that he was holding drugs (i.e. lab report lost), b/c what he did before isn't relevant to determine chemical composition of substance in the bag
6. TEST FOR ADMITTING EVIDENCE OF PRIOR ACTS:
7. whether evidence offered for proper purpose
8. whether relevant for that purpose
9. whether probative worth outweighed by risk of prejudice
10. limiting instruction on request
3. Proving Intent
1. maybe sometimes sensible to bar pros from introducing evidence of intent during case-in-chief but admit (if necessary) during rebuttal (482)
2. Other elements bearing on guilt (483)
3. malice – prior convictions for drunk driving show D had reason to know of risk posed to others
4. knowledge – you claim ignorance of drugs, and other crimes will demonstrate that's untrue
5. Entrapment defense
6. raises question of intent b/c of claim that gov't induced D to perform crime wouldn't otherwise have committed. Proof of prior crimes will show that lie.
4. Identity, Modus Operandi
1. Signature crimes to prove identity through inferences based on unusual similarity
2. not probative, but suggestive
3. should be SPECIFIC -- in Prob 5-G, might not get in, b/c very weak connection. “All hunched over” is pretty undescriptive
4. prior act must bear strong resemblance to charged offense, and similarities must be sufficiently idiosyncratic to permit inference of pattern. (484)
5. Reverse evidence:
6. D argues that crimes resemble crimes of 3rd person, so other must be guilty of these as well (485)
5. Plan, Design
1. Prior crime evidence is often relevant in proving plan.
2. Ex: when defendant is charged with conspiracy to import illegal drugs, evidence that he had attempted to bribe customs agents and incorporate them into his criminal enterprise would be admissible as evidence of plan
6. Preparation
1. evidence of prior crime can be used to show preparation for charged crime
2. Ex: in prosecution for attempted bank robbery, proof that the day before the attempted robbery D stole a car to use as the getaway vehicle would be admissible
7. Absence of Mistake or Accident
1. Proving prior crimes or acts is sometimes used as a way of rebutting a claim by defendant that the charged crime was an accident or mistake.
2. Why?
3. If something unusual happens often enough, we may infer that our initial assumption about the most likely explanation (accident) is wrong as statistically improbable.
4. The circumstances must be similar because that supports the unlikelihood of fortuity. Circumstances don't have to be identical, but alike. Purely a matter of common sense and logic.
5. Ex.
6. in a case where defendant was charged with unlawful receipt of child pornography, defendant claimed that he ordered the pornography by mistake and did not realize that it contained pictures of underage children. To rebut this claim, the government shows defendant possessed other child pornography
8. Blended or Connected Crimes
1. evidence of other crimes may be admissible if they tend to incidentally involve or explain the current charge
2. Ex:
3. D’s charged with interstate transportation of a stolen car ⋄ can admit evidence that D robbed a bank and stole the car as a getaway car, part of that plan…
9. Other Purposes (489)
1. consciousness of guilt
2. evidence D tries to bribe a witness
3. Proving context – Sometimes in the course of proving the charged crime, it is necessary for the prosecutor to present proof of other crimes to provide background or context critical to an understanding of the facts surrounding the charged offense. Evidence necessary for a full understanding or to bridge a chronological gain in the government’s proof may be admitted under FRE 404(b).
10. Proving the Prior Act: United States v. Huddleston (SCOTUS 1988, p. 489):
1. Huddleston rules
2. FRE don't require a “preliminary finding” that gov't proved prior act by preponderance of the evidence. Rather, judge makes “threshold” decision whether evidence probative of material issue other than character.
3. Admitting evidence of prior acts raises question of relevance conditioned on a fact under FRE 104(b), which is for jury to decide on preponderance standard. [FRE 104(b): When the relevancy of evidence depends upon the fulfillment of a condition of fact, the court shall admit it upon, or subject to, the introduction of evidence sufficient to support a finding of the fulfillment of the condition.]
4. Basic steps:
5. Judge decides: Can the jury reasonably find by a preponderance of the evidence that H possessed televisions he knew were stolen
6. Jury decides: Was H in possession of televisions he knew were stolen. If so, it can use that fact to determine H’s knowledge about the tapes in this case.
7. The relevance of the proof is conditioned on a finding that H possessed televisions he knew were stolen.
8. Problems:
9. Consensus among evidence scholars is that this evidence could seriously affect jury's perception of Huddleston. Judge should make finding of fact, at least by preponderance, maybe by clear and convincing, before passing along to the jury.
10. What if D charged but acquitted of prior crime in prior trial?
11. Dowling v. US (491): Court allows evidence from prior trial, though D acquitted. Collateral estoppel didn't apply, b/c not an ultimate issue in prior proceeding (but not ultimate issue in new proceeding, either! And D has to twice litigate the same point.)
5. Prior Acts in Sex Offense Cases: Sexual History of Victim (Rape Shield Statutes)
1. In the past, as a witness, the alleged victim could be cross-examined about her sexual history or disposition -
1. To cast doubt on her credibility (impeachment) –
2. i.e. women who have sex (or are interested in sex) will lie on the stand
3. To imply that the sexual conduct on trial was consensual – i.e.
4. a) A woman who has consented to sex in the past (or who is interested in sex) consented this time or
5. b) past sexual experience has tendency to prove consensual (if you did it once, you did it this time).
6. This happened even in cases when physical injury made clear no consent
7. basically turned into intimidation technique keeping people from pressing charges. Not until mid-1970s that FRE had rape shield statute (not important, b/c most rapes state cases, but important as symbolic thing)
2. Apart from XE, the defense lawyer could also introduce character evidence about the alleged victim’s character trait for chastity (or the lack of it)
1. To support a claim of consent (she is someone who sleeps around, so she did so this time)
2. To support a claim that the defendant believed she consented and so did not intend to commit rape (word among guys was . . . , so I thought it was consensual b/c of her reputation)
3. FRE 412 Relevance of Alleged Victim's Past Sexual Behavior. Evidence Generally Inadmissible. The following evidence is not admissible in any civil or criminal proceeding involving alleged sexual misconduct except as provided in subdivisions (b) and (c): (1) Evidence offered to prove that any alleged victim engaged in other sexual behavior. (2) Evidence offered to prove any alleged victim's sexual predisposition.
4. FRE 412(b) Exceptions.
1. FRE 412(b)(1) In a criminal case, the following evidence is admissible, if otherwise admissible under these rules:
2. (A) evidence of specific instances of sexual behavior by the alleged victim offered to prove that a person other than the accused was the source of semen, injury, or other physical evidence [i.e. he made those bruises];
3. (B) evidence of specific instances of sexual behavior by the alleged victim with respect to the person accused of the sexual misconduct offered by the accused to prove consent or by the prosecution [it's relevant if not too long ago– if they've had sex before, it is more likely that she would agree again, allows D to overcome jury presumption that 2 people are basically strangers – jury can weigh as evidence, but NOT just that she had sex with someone, must be same D. If it was once 10 years ago, maybe exclude under 402]
4. (C) evidence the exclusion of which would violate the constitutional rights of the defendant. [Olden v. Kentucky (SCOTUS) (to show improper motive). John wanted to prove at trial Sally's relationship Mark as way of showing motivation to lie about encounter with John, to explain his theory of why Sally made false accusation]
5. FRE 412(b)(2) In a civil case, evidence offered to prove the sexual behavior or sexual predisposition of any alleged victim is admissible if it is otherwise admissible under these rules and its probative value substantially outweighs the danger of harm to any victim and of unfair prejudice to any party. Evidence of an alleged victim's reputation is admissible only if it has been placed in controversy by the alleged victim.
6. Prior Acts in Sex Offense Cases: Prior Offenses by Defendants in Sex Crime Trials
1. FRE 413 Evidence of Prior Crimes in Sexual Assault Cases. (a) In a criminal case in which the defendant is accused of an offense of sexual assault, evidence of the defendant's commission of another offense or offenses of sexual assault is admissible, and may be considered for its bearing on any matter to which it is relevant.
1. Terribly drafted but legislative history shows trial judge can exclude under 401 or 403.
2. Upshot is that judge must make 401 decision on whether evidence is relevant and 403 decision on exclusion (“Can this information rationally prove/disprove a material fact? Is there any other reason it should be excluded?”) and admit or not on that basis
3. Steps to admission:
4. Is it admissible under FRE 413?
5. Is it relevant under FRE 401?
6. Is it too prejudicial under FRE 403? [i.e. testimony about rape of Laura under similar circumstances, and conviction for assault on a minor. Risk of the jury overreacting to the second is greater than the first. A judge may well exclude the one involving the minor.]
2. Lustful Disposition?
1. 413 throws “no predisposition” idea out the window. You can't say “you robbed a bank last year, so you did it again”, but you can say there is “tendency to be rapist.” Similar laws are . . .
2. [FRE 414. Evidence of Similar Crimes in Child Molestation Cases. In trial for child molestation, evidence of other child molestation offenses is admissible and may be considered for its bearing on any matter to which it is relevant.
3. FRE 415. Evidence of Similar Acts in Civil Cases Concerning Sexual Assault. Evidence of other offenses admissible. ]
4. Lustful disposition theory is idea is that sex crimes are more likely to be recidivist crimes than, for example, bank robbery. This assumption is unproved, but oh well.
5. Societal double standard. Juries tend more to believe the male. Since stereotypical gender rules are still in place, we can see this as a form of affirmative action.
3. Habit and Routine Practice
1. Generally
1. In contrast w. character evidence, proof of personal habit freely admitted, maybe b/c of moral overtones of 1st and neutral quality of 2nd.
2. FRE 406 Habit, Routine Practice. Evidence of the habit of a person or of the routine practice of an organization, whether corroborated or not and regardless of the presence of eyewitnesses, is relevant to prove that the conduct of the person or organization on a particular occasion was in conformity with the habit or routine practice.
1. Rule of admission rather than exclusion.
2. can use habit evidence to prove actions in conformity with the habit
3. The fact that someone did something before is seen as relevant to show whether the person did the particular thing on a particular, later occasion
3. What is habit?
1. Automatic or semi-volitional
2. Same or similar circumstances
3. Not a “general tendency” (character trait) but more focused (greater level of specificity)
1. it may bespeak a character trait – i.e., checking mirrors in car every time you get shows you're careful – but that's not shown directly)
2. Never taking the elevator
3. Taking the same route walking to work each day
4. Always checking rear and side mirrors before driving
4. all things you could change if you wanted, but you could be counted on to do it
4. Methods of proving habit
1. Sufficient instances – Need a large enough sample to establish a pattern of behavior and a sufficient uniformity of response.
1. Court decides under 104(a) whether the witness can describe enough instances to show habit.
2. Opinion – Most modern courts allow habit to be proven by opinion testimony, provided the witness has an adequate basis of personal knowledge.
3. Organizational Routine
1. Easier to prove organizational routine. Courts have admitted warrant service procedures of the Immigration and Naturalization Service, insurance company practices in waving policy requirements, and mechanics of mailing practices.
2. Can prove presence of terms in an agreement
3. “routine practice” -- i.e, office procedures for getting out the mail
4. Can rely on established policies of the org…
5. BUT witness needs personal knowledge of all the elements of an organization’s routine
4. Remedial Measures
1. FRE 407 Subsequent Remedial Measures. When, after an injury or harm allegedly caused by an event, measures are taken that, if taken previously, would have made the injury or harm less likely to occur, evidence of the subsequent measures is not admissible to prove negligence, culpable conduct, a defect in a product, a defect in a product's design, or a need for a warning or instruction. This rule does not require the exclusion of evidence of subsequent measures when offered for another purpose, such as proving ownership, control, or feasibility of precautionary measures, if controverted, or impeachment.
2. Generally:
1. broad exclusionary rule blocking evidence of any subsequent remedial measure if offered to prove the critical negligence or liability issues…
2. Rationale: avoid discouraging efforts to make things better.
1. Don’t want to discourage people from taking remedial measures out of fear of what those steps might prove during related litigation
2. Don’t want organizations to let liability concerns prevent changes in policy that will prevent future incidents
3. Confusion
4. Also – just b/c it's safer now doesn't mean dangerous before (why isn't this matter of weight?)
3. Limitation – does NOT apply to product liability cases IN MOST STATES (although says it does in the rule).
4. Big question:
1. When may subsequent remedial measures be shown to prove feasibility?
3. Exceptions:
1. To show ownership or control
1. “I had no power to make the change”
2. To show feasibility if “controverted.”
1. Admissible if it tends to refute evidence offered by the defending party that it would have been impossible or impractical to make a particular change that would prevent similar accidents.
2. It couldn’t be done
3. It could be done but it would have been unsafe
4. could be done but we made the judgment that it would not have worked as well (Tuer)?
5. If D brings this stuff up, P can bring whatever in. So D will be careful about making claim unless really true.
3. Impeachment
1. Proof of postaccident modifications is admissible if it tends to refute testimony by a defending party that the machine or premises in question has a particular safety feature, or that certain procedure are always followed.
2. Ex: if D is asked on cross whether he thinks he had taken all reasonable safety precautions and answers yes, any subsequent remedial measure he did take can be seen as contradicting his answer
3. Testimony: Safe to use product in X way
4. Post-Accident notice to consumers: Unsafe for X
4. Tuer v. McDonald (MD 1997, p. 507):
1. Facts: Tuer’s husband died, and she sued for medical malpractice b/c hospital had taken him off his medicine in preparation for surgery and didn’t restart drug when surgery was delayed.
2. Question: Admissibility of the fact that the hospital changed its protocol after his death – adopted a policy of restarting and restopping drug if surgery is delayed
3. Holding: Hospital wasn't controverting feasibility, and not saying would have been unsafe per se, rather saying had certain possibilities, and chose one based on what we saw at the time. Therefore, hospital didn't claim not feasible, and P can't introduce the contrary evidence showing it was.
7. IMPEACHMENT OF WITNESSES
1. Art 6: Competency and Impeachment
1. Rules 607-615 describe
1. protocols or procedures governing the eliciting of evidence from witnesses and the conduct of the trial (Rule 607, 611, 612, 614, 615); and
2. the rules governing how witnesses may be impeached (Rules 608, 609, 610, 613). These modes of impeachment are NOT exclusive. These rules only apply when there is a witness.
1. Various impeachment techniques are addressed in the rules, but there is extra law governing their use not reflected in the rules
2. Evidence impeaching a witness must be relevant as well (Rule 401) and may be subject to exclusion under Rule 403.
3. Use of evidence to persuade jury that witness is wrong must be relevant, b/c relevance of her evidence was reason why she was allowed to testify initially.
2. Why is it easy to confuse Arts 4 and 6?
1. Certain types of information that lawyers like to use to circumstantially prove or disprove a “fact of consequence to the determination of the action” (401) can also be types of information that lawyers may be allowed to use to impeach a witness:
1. proof of the character trait of truthfulness (or lack of it);
2. proof of criminal conviction;
3. proof of acts bearing on truthfulness that have not resulted in conviction (and may not be a crime);
4. proof of a prior inconsistent statement that contradicts the witness and is also admissible for its truth
2. If the evidence is admissible under Art. 4, Art. 6’s rules are irrelevant whether or not the evidence would be legitimate impeachment. The converse is also so.
2. Methods of Impeachment
1. Five basic means
1. Nonspecific
1. Bias
2. Bias can be for or against a party
3. love, hate, money, freedom, fear
4. defect in sensory or mental capacity
5. character for truth and veracity
6. XE witness about nonconviction misconduct under FRE 608(b)
7. XE about convictions for certain kinds of criminal acts FRE 609
8. testimony from CW that target witness is untruthful FRE 608(a)
2. Specific
1. prior inconsistent statement (FRE 613)
2. contradiction – wrong on point of testimony (no FRE)
2. When?
1. During XE of target witness, usually. But can also be done by extrinsic evidence – i.e. testimony by another witness.
1. FRE 608(b) limits attacking character of witness by nonconviction misconduct to XE
2. FRE 609 (convictions) allows extrinsic evidence introduced whenever (not just during XE)
3. Who may impeach?
1. FRE 607. Who May Impeach. The credibility of a witness may be attacked by an party, including the party calling the witness.
2. Anyone can impeach any witness – rejecting common law rule that W’s proponent vouched for W’s credibility
4. Repairing Credibility
1. Subject to court discretion under FRE 611 to limit digressions, supporting party may examine witness in attempt to refute points suggest during attack.
5. Regulating Scheme
1. FRE chose to regulate impeachment/repairing witness credibility only in part. No mention of bias, mental/sensory incapacity, contradiction, and only indirectly to use of prior consistent statements to repair credibility [where?]
3. Non-specific Impeachment
1. Bias and Motivation
1. Generally:
1. D right to develop bias on part of pros witnesses is of constitutional nature [Olden v. Kentucky]. Denying right to XE can violate Confr. Clause and due process.
2. Trial judge must permit D to uncover basic identifying facts about gov't witnesses, i.e name/address/employment.
2. United States v. Abel (SCOTUS 1984, p. 588)
1. Facts: Abel is on trial for robbery. Ehle will testify for the government that Abel did it. Abel will call Mills, who will testify that Ehle told Mills he would falsely implicate Abel to get a deal with the government. This indicates bias. On cross-examination, the government will ask Mills whether he, Ehle and Abel are part of a prison gang called the Aryan Brotherhood whose tenets are to lie, steal, and kill to protect each other. If Mills denies that, the Government wants to call Ehle back to testify that they are members of such a gang, and those are its tenets.
2. 9th Circuit : Mere membership does not show that member subscribes to tenets of organization and cannot be a crime. You can't get this in for bias.
3. Question:
4. Can the Government impeach Mills, first by cross-examining him, and if he denies it, calling Ehle to establish the existence of this group?
5. Basically, can extrinsic evidence be allowed on question of bias?
6. D Argument:
7. FRE 608b Evidence of Character and Conduct of Witnesses. “Specific instances of the conduct of a witness, for the purpose of attacking or supporting the witness' character for truthfulness, other than conviction of crime as provided in rule 609, may not be proved by extrinsic evidence….”
8. i.e. Ehle should not have been recalled to contradict Mills. Drafter decided that you have to “take the answer” -- if witness lied, and won't admit it on stand, you can't prove that he lied via extrinsic evidence (can't call extra witnesses, bank manager, whatever to show it).
9. Holding:
10. SC: This is bias, not prior bad act so extrinsic evidence on bias doesn't conflict w/ imitation of FRE 608).
11. Bias is never collateral – person wishing to prove bias (opponent of the witness) may do so through use of other witnesses
12. The type of organization in which witness and other party share membership in may be relevant, if tenets of gang provide motive for bias. The type of gang is relevant BUT
13. if worried about too much prejudice, can forbid mentioning name of gang
3. Showing Bias
1. Pros witnesses frequently are plea-bargainers. D must be able to XE about these deals and promises of leniency.
2. BUT – this is limited by Alford and Smith (595) – questions that tend to humiliate a witness may go beyond bounds.
3. Also, questions that could put witness in personal danger may be disallowed.
4. Prior inconsistent statements
5. bias may be indicated by something W has said. In this case, you can use FRE 613(b) to get extrinsic evidence of earlier statement.
4. Paid Witness
1. you can XE an expert on fees to suggest bias – pattern of compensation may suggest slanting testimony to be invited back
2. also, lay witnesses can be paid – but informant's testimony not excluded unless promised payment contingent on conviction.
2. Sensory and Mental Capacity (597)
1. Generally
1. because a person’s ability to perceive things is clearly related to likelihood that what person says about those things is accurate, cross-examiners are allowed to ask Ws questions about how well they can see/hear, and about the circumstances in which they observed or heard things that are the subject of their testimony
2. Can try to impeach a W by showing a defect in sensory or mental capacity that affected either the ability of W to observe at the time of the events or recollect and recount the events at trial
3. i.e. under influence of drugs or alcohol
4. Can XE on mental affliction/illness.
5. Independent evidence of these topics is also admissible
6. Ex: Glasses prescriptions, observations of other witnesses…
2. Proving lack of capacity
1. no witness is incompetent b/c of mental illness
2. Court ordering witness to undergo psychiatric evaluation is “discretion of trial court”
3. courts generally exclude expert testimony on the (in)accuracy of eyewitness accounts.
3. Character for “Truth and Veracity”: Non-Conviction Misconduct (608)
1. Three means of proving untruthfulness
1. XE on non-conviction misconduct
2. XE on convictions
3. use of character witnesses
2. FRE 404(a)(3) Character of a Witness. Generally bars character evidence to show conduct outside of court except (3) Evidence of the character of a witness, as provided in Rules 607, 608, and 609.
1. Showing that a person is untruthful involves character evidence to show particular kind of conduct in court.
2. Note that criminal D, if decides to testify, loses much of protection of 404 b/c opened up to impeachment by evidence of bad character under 608 and 609
3. BUT – impeachment attach must focus on traits relating to veracity. FRE 608/609 entitle prosecutor to show by nature dishonest, but not to show he's violent.
3. FRE 607 Who May Impeach.
4. FRE 608 Evidence of Character and Conduct of Witness
1. a) The credibility of a witness may be attacked or supported by evidence in the form of opinion or reputation, but subject to these limitations:
2. (1) the evidence may refer only to character for truthfulness or untruthfulness, and
3. (2) evidence of truthful character is admissible only after the character of the witness for truthfulness has been attacked by opinion or reputation evidence or otherwise.
4. b) Specific instances of the conduct of a witness, for the purpose of attacking or supporting the witness' character for truthfulness, other than conviction of crime as provided in Rule 609 may not be proved by extrinsic evidence. They may, however, in the discretion of the court, if probative of truthfulness or untruthfulness, be inquired into on cross-examination of the witness
5. (1) concerning the witness' character for truthfulness or untruthfulness, or
6. (2) concerning the character for truthfulness or untruthfulness of another witness as to which character the witness being cross-examined has testified.
7. The giving of testimony, whether by an accused or by any other witness, does not operate as a waiver of the accused's or the witness' privilege against self-incrimination when examined with respect to matters that relate only to character for truthfulness.
5. Rule 405(a) Methods of Proving Character
1. In all cases in which evidence of character or a trait of character of a person is admissible, proof may be made by testimony as to reputation or by testimony in the form of an opinion. On cross-examination, inquiry is allowable into relevant specific instances of conduct.
6. FRE 609. Impeachment by Evidence of Conviction of Crime.
7. FRE 611. Mode and Order of Presentation
1. Gives judge authority to “protect witnesses from harassment or undue embarrassment.”
8. XE on Nonconviction Misconduct
1. FRE 608(b)
2. Specific evidence of non-conviction conduct, if probative of truth or untruthfulness, may be allowed at discretion of judge.
3. Good faith basis
4. there must be an adequate basis for questions posed about prior bad acts because groundless question may “waft unwarranted innuendo into jury”
5. Before allowing the question to be asked, the trial judge may require a showing outside presence of the jury of a good-faith basis for the question.
6. “factual predicate”
7. Acts must bear on Truthfulness –
8. Ex of acts involving falsehood or deception – making false statements on gov’t forms, giving false testimony, deceptive or fraudulent representations.
9. Acts that generally do not qualify are acts of violence, use or sale of drugs, alcohol offenses, commercial or financial defaults, prostitution, adultery, or the bearing of illegitimate children
10. Court has broad discretion
11. assess if factual predicate exists
12. impose limits on XE to avoid 611 “harassment of witness,” physical harm, etc.
13. But FRE 608 does not require pretrial notification that such questions will be asked.
9. United States v. Manske (7th Cir. 517)
1. Facts: Defense wanted to cross examine Colburn and Campbell, on the theory that one of the witnesses (Pszeniczka) was threatening other witnesses to get them to change their stories and not testify (you testify, you're dead). Gov't resists XE on this topic, saying that “these did not result in convictions,” “dealt w/ propensity for violence, and thus not w/in 608(b).”
2. Issue: different ways of looking at FRE 608(b)
3. Narrow: crime bears on veracity only if it involves falsehood – i.e. Forgery, fraud, perjury, false pretenses
4. Middle: “behavior seeking personal advantage by taking from others in violation of their rights reflects on veracity”
5. Broad: “virtually any conduct indicating bad character is probative of untruthfulness, including, say, assault.
6. Holding: D should have been allowed to XE Pszeniczka on this as prior non-conviction misconduct
7. Threatening to cause physical harm to a person who proposes to testify against you is probative of untruthfulness. These were threats aiming at causing their victims to lie.
8. Holding 2:
9. Manske’s “theory” was that the witnesses were biased. Court says that error of refusing to allow X of witnesses is compounded by the theory itself – makes it more important that they should have allowed it
10. D should have been allowed to XE Colburn and Campbell on bias. Bias is always relevant (Abel), and can be motivated by fear.
11. There are no special foundational requirements for bias evidence.
12. Upshot:
13. Trial court should have let him first XE P for non-conviction bad acts of threatening other witnesses, and then XE other witnesses for bias.
14. Manske idea isn't shared by everyone, i.e. how to deal w/ non-conviction misconduct by witness that isn't false or deceptive, but has a wrongful, exploitative aspect (522). Manske approves impeachment by questioning on these matters.
15. FRE 608 doesn't allow extrinsic evidence (523).
10. Other uses of 608(b) (523-25)
1. deceptive behavior in personal relationships, but generally not adultery
2. Can't impeach on prior statements when it's unclear whether statements were untrue or not (i.e. never prosecuted)
3. Is theft probative of untruthfulness? Courts are divided.
4. Probably shouldn't ask “open-ended questions” like “have you ever lied?” “have you ever stolen anything” (525).
4. Character for Truth and Veracity: Prior Convictions (609(a))
1. FRE 609(a)(1) Impeachment by Evidence of Conviction of Crime.
1. For the purpose of attacking the credibility character for truthfulness of a witness, (1) evidence that a witness other than an accused has been convicted of a crime shall be admitted, subject to Rule 403, if the crime was punishable by death or imprisonment in excess of one year under the law under which the witness was convicted
2. Rule 403 “Although relevant, evidence may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice…”
3. So 403 is the balance for witnesses: substantially more unfairly prejudicial than probative
4. and evidence that an accused has been convicted of such a crime shall be admitted if the court determines that the probative value of admitting this evidence outweighs its prejudicial effect to the accused; and
5. 609 has the balance for an accused: must be more probative than [unfairly] prejudicial
6. If the balance is 51-49 more prejudicial than probative?
2. FRE 609(a)(2) evidence that any witness has been convicted of a crime shall be admitted if it involved dishonesty or false statement, regardless of the punishment, if it readily can be determined that establishing the elements of the crime required proof or admission of an act of dishonesty or false statement by the witness.
1. Must prove crime required act of dishonesty or false statement, e.g., by showing elements of crime; indictment; guilty plea allocution
2. But if you can do this, judge can't exclude, not even under 403.
3. FRE 609(b) Time Limit
1. Evidence of a conviction under this rule is not admissible if a period of more than ten years has elapsed since the date of the conviction or of the release of the witness from the confinement imposed for that conviction, whichever is the later date, unless the court determines, in the interests of justice, that the probative value of the conviction supported by specific facts and circumstances substantially outweighs its prejudicial effect.
4. Upshot:
1. XE can ask about crimes punishable by death or imprisonment more than 1 year
2. witnesses other than criminal D – admissibility governed by 403
3. admissibility for criminal D governed by 609(a)
4. Under 609(a)
5. importance is either serious of crime (more than 1 year)
6. or nature of deed (crimes of dishonesty, no matter how trivial)
7. frequently doesn't include theft
8. Basic result is that D's in criminal cases avoid taking the stand if they have priod record that could come up in XE.
9. Is a criminal conviction for a crime that does not have dishonesty or false statement as an element probative of untruthfulness?
10. If the defendant has a record, she may refuse to testify with a consequent loss of information for the trier
11. Should judges have power to exclude the impeachment even under 609(a)(2)?
12. Should the protection for the accused be greater?
13. More generous balancing test in 609(a)(1) [than in 403] reflects that concern – but hasn't led to discretion for trial judge to exclude “truth” crimes
14. Time limit
15. Pardon, annulment
16. FRE 609(c) disallows use of convictions in some cases where witness has been formally rehabilitated (pardon, annulment, etc). Not widely interpreted
17. Juvenile adjudication
18. FRE 609(d) Evidence of juvenile adjudications is generally not admissible under this rule. The court may, however, in a criminal case allow evidence of a juvenile adjudication of a witness other than the accused if conviction of the offense would be admissible to attack the credibility of an adult.
19. Pendency of appeal
20. FRE 609(e) permits XE on convictions despite pendency of appeal – suggesting actual judgment might not be necessary, and XE will focus on guilty/not-guilty pleas.
5. Getting the record in
1. Lawyer may choose to elicit record on direct
2. Otherwise, opponent will inquire on XE: fact of conviction, crime, date, sentence. doing it yourself denies the ah-ha impact of letting the prosecutor (most likely) to get it in
3. If denied, may be proved extrinsically
4. Hearsay exception for judgments: Rule 803(22)
5. Why allow extrinsic proof here but not under 608(b)?
6. 609(a)(1) Balancing Test (see Lipscomb, p. 617)
1. How old is the crime?
2. If more than 10 years old, triggers whole different balancing test under 609(b).
3. Even if not 10 years old, a 9-year-old conviction has less probative force than 1 year old
4. To what extent does it bear on veracity?
5. Forgery? Fraud? Or assault?
6. Is it cumulative?
7. Are there other convictions that are going to come in anyway. If jury's going to hear convicted of fraud 2 years ago, maybe doesn't have to hear about bank robbery 9 years ago
8. If the witness is called by an accused, what is the spillover effect?
9. This witness gets same balancing test as other witnesses (except D)
10. but in balancing test judge will evaluate spillover – potential to harm defendant by association w/ this witness
11. If the witness is the defendant
12. Is it similar to the charged crime (how does that cut?)
13. if identical to the one on trial, argues against admitting it since jury will be more likely to assume automatically guilty
14. if totally dissimilar, also argues against, since maybe not really all that relevant (is this what he said?)
15. How important is the defendant’s testimony?: If admitting priors to impeach will keep D off stand, we deprive jury of his testimony. Argument is that if D's testimony is important to full understanding of case, D's priors ought to be excluded.
16. The problem: The defendant will testify but not if her prior can be used to impeach
17. She makes a motion in limine.
18. Must the judge rule? No, discretion of the court. Can also say not admissible, but I reserve right to change my mind
19. May an adverse ruling be appealed in the event of conviction where the defendant does not testify? (No: Luce)
7. United States v. Lipscomb (DC Cir. 1983, p. 617): Factors to consider in probative/prejudice balancing – and the 609 balancing may have to take place in a mini-hearing
1. Nature of prior crime –
2. the more the prior crime reflects adversely on honesty and integrity, the greater its probative worth
3. Crimes that directly involve untruthful behavior are automatically admissible under FRE 609(a)(2).
4. Crimes that fall low on the scale are crimes in which violence is the central feature, drug crimes and crimes against public morality, such as prostitution.
5. The more similar the prior crime to the current crime, the more prejudicial and less admissible the evidence of the prior crime is [Don’t want jury to use evidence of priors to assume proof of substantive elements in the current crime]
6. Recency or remoteness – time limit test
7. 609(b) creates a presumption that a conviction more than ten years old should be excluded, but even the age of a more recent conviction may tip the scales.
8. Time lapse between a perhaps less illuminating conviction and the current charge will be less helpful in keeping prior conviction out if there have been intervening convictions
9. Similarity to charged crime –
10. the closer the resemblance between the charged crime and the prior crime, the greater the potential prejudice to the defendant.
11. Extent and nature of defendant’s record –
12. all other things being equal, an isolated conviction by one who otherwise leads a “balanced life” carries less probative weight on credibility than a conviction that fits a pattern of criminal behavior.
13. Importance of defendant’s testimony –
14. a judge may decide that it is more important for the jury to have the benefit of the defendant’s version of the case than to have him remain silent.
15. Importance of credibility issues
16. Conviction in trial where defendant testified
8. Luce v. United States (SCOTUS 1984, p. 631)
1. In limine rulings under 609(a) are not reversable on appeal
2. in order to preserve claims of improper impeachment, D must appeal (that way reviewing court can see what impact the impeachment had in light of record as a whole)
5. Character for Truth and Veracity: Character Witnesses (636)
1. Generally
1. 3rd way of suggesting lack of veracity is by introducing testimony by character witness that W is untruthful
2. FRE 405 allows opinion as well as “reputation” testimony
3. for opinion, usually need personal acquaintance
4. generally no psychiatric testimony.
4. Specific Impeachment
1. Prior Inconsistent Statements
1. General rule – when W says something in testimony that conflicts with something said/written earlier, proof of prior statement is admissible on the theory that a person who says one thing one time and another thing another time has probably lied or has suffered from memory deficiencies on one of the two occasions
1. most can be offered to impeach, but not as substantive evidence.
2. FRE Rule 613: Prior Statements of Witnesses
1. (a) Examining witness concerning prior statement. In examining a witness concerning a prior statement made by the witness, whether written or not, the statement need not be shown nor its contents disclosed to the witness at that time, but on request the same shall be shown or disclosed to opposing counsel
2. No need to be “courteous”, unlike in old English model. You don't have to show them where you're going, etc. So you don't know where lawyer's going, can't anticipate next question – person doing questioning has all the cards. But do have to show materials to adversary on request.
3. (b) Extrinsic evidence of prior inconsistent statement of witness Extrinsic evidence of a prior inconsistent statement by a witness is not admissible unless the witness is afforded an opportunity to explain or deny the same and the opposite party is afforded an opportunity to interrogate the witness thereon, or the interests of justice otherwise require. This provision does not apply to admissions of a party-opponent as defined in rule 801(d)(2)
4. If prior inconsistent proved by extrinsic evidence, generally witness MUST have opportunity to explain or deny.
5. When do you give person chance to deny have made the statement? If you wait to introduce prior inconsistent extrinsically and witness leaves town, judge won't let you do it. Safer to do it while she's there on witness stand (641)
6. Adverse party must have had chance to XE.
3. Keeping them out
1. FRE 410: statements made during plea bargaining excludable
2. FRE 409: statements made during settlement negotiations excludable
4. The “smuggling-in” issue
1. FRE 607: “The credibility of a witness may be attacked by any party, including the party calling the witness.”
2. U.S. v. Webster (7th Cir. 1984, p. 642)
3. Prosecutor impeached her own witness with a prior statement
4. Is this abuse? “Impeachment by prior inconsistent statement cannot be used as subterfuge to get in otherwise inadmissible evidence.”
5. But here, was done in good faith so OK (D lawyer idiotically refused voir dire)
6. United States v. Morlang (4th Cir. 1975, p. 644):
7. abuse of Rule 607 where prosecutor calls W, knowing the testimony will be exculpatory, in order to use the prior statement
8. United States v. DeLillo (2d Cir. 1980, p. 646)
9. P wants to call witness who has both good and bad things to say. Has to accept that if calls bad things. Wants to impeach her own witness on bad things to minimize the harm
10. Court agrees this is legit reason to bring out prior inconsistent.
2. Criminal Cases: Constitutional Limits of Prior Inconsistents
1. Impeaching D w/ Miranda-barred statements
1. Harris v. New York (SCOTUS 1971, p. 646): Use of Miranda-suppressed statements on cross to impeach where defendant denied the crime (“I sold baking powder”).
2. Testifying does not include “the right to commit perjury,” and defendant who takes the stand must speak “truthfully and accurately” and submit to “traditional truth-testing devices,” including use of prior statements, even if taken in violation if the Miranda rule.
3. But if statements were obtained involuntarily, in violation of certain rights, they can’t be used to impeach, b/c the statements wouldn’t be considered reliable
4. Brennan Dissent: This is different from Walder, where suppressed fruits of a search were allowed. In Walder, D gratuitously injected the issue when on direct he said he had “never in his life possessed narcotics.”
5. Does Harris undervalue the privilege against self-incrimination? Maybe. Harris merely denied he sold heroin (it was baking power – basically maintaining innocence of crime on trial), which he should be allowed to do w/o being XE with his suppressed statement. He shouldn't have to give up right to testify b/c of statement taken in violation of 5th Amend privilege against self-incrimination.
6. Walder v. United States (p. 648): D gratuitously injected the issue when on direct he said he had “never in his life possessed narcotics.”
7. Agnello (p. 652): The government used suppressed evidence to impeach defendant’s statement on XE: “Have you ever seen cocaine before?” “No.” Gov't has evidence showing this is a lie.
8. Court forbids it because the government elicited the testimony on cross, then tried to impeach the reply with fruits of a suppressed search (unlike Walder, where lie came out on direct).
9. This is smuggling in illegally seized evidence by asking a question that it can then contradict answer for. Idea that gov't went outside scope of direct and created own spot to use suppressed evidence.
10. Basically, can't first bring up issue on X. Means lawyer for D has to be careful about what questions he asks on direct.
11. Does Agnello survive U.S. v. Havens?
12. Oregon v. Hass (652). Continued questioning after request for counsel (guy said, “I want to talk to a lawyer”). Impeachment use allowed
13. This might really affect things – if I do nothing, I'll have nothing. If I keep asking questions, will at least have something to use on XE.
14. Harris probably doesn't undercut Miranda’s goal of deterring police misconduct – police don't want in situation where asking question w/o giving warning – looks bad. But w/ Hass, can have it both ways.
2. Involuntary Statements not Allowed for Impeachment
1. Mincey (p. 652) and Portash (652):
2. Both statements taken in violation of 5th Amendment (like Harris, which wasn't preceded by Miranda warnings). BUT – these were of different caliber.
3. Mincey: accused was seriously wounded in hospital bed
4. Portash: ‘talk or go to jail for contempt’ (he'd been called before grand jury, given immunity, and required to testify or be in contempt)
5. HOLDING: Truly involuntary statements may not be used to impeach.
6. Violation of 5th Amendment as represented by Miranda rules is violation of rules we've created to protect against involuntary statements. This is deeper, since truly involuntary (in Portash, state threatening incarceration absent truthful answer; Mincey, he's lying in bed unable to speak).
7. Not a Miranda violation, but more fundamental. In these situations the statements were involuntary , not just the product of failure of prophylactic measures meant to insure voluntariness
8. If just violation of Miranda, no “involuntariness”
3. A non-testifying defendant’s suppressed pre-trial statement cannot be used to impeach a defense witness.
1. James v. IL (653): State tried to use not a prior inconsistent of the witness, as in Harris, but rather prior inconsistent of someone else.
2. Court: Harris permits impeachment of witness accused w/ his statement, but not of the accused' witnesses.
3. Threat of a perjury prosecution suffices for most witnesses, whereas it may not for the testifying accused since he's up for crime carrying greater sentence and might lie to save own skin.
4. Allowing it would interfere with the defense case for fear that anything it asked witness to say could then be challenged w/ suppressed statements made by another defendant.
4. Impeaching with Silence as Prior Inconsistent “Statement” –
1. can properly be viewed as an inconsistent “statement,” as least under circumstances in which the witness would reasonably be expected to have related the same facts now disclosed in his testimony.
2. Jenkins v. Anderson (SCOTUS 1980, p. 653)
3. Holding: Pre-arrest, pre-Miranda silence – there is no federal constitutional violation in using a defendant’s refusal to talk to police prior to being given Miranda warnings to impeach his testimony at trial, although pre-arrest silence can be excluded as irrelevant as a matter of evidence law
4. No implicit promise as in Doyle. He wasn't told “won't be held against you” -- wasn't told anything.
5. Doyle v. Ohio
6. Silence after Miranda warnings – cannot be used either as evidence or guilt or to impeach the defendant’s subsequent testimony at trial
7. Fletcher v. Weir (658)
8. Post-arrest, pre-warning silence can be used
9. No implicit promise as in Doyle. D is arrested, not given Miranda warnings. Just sitting around waiting.
10. At trial, has exculpatory story. Question is why didn't he say this to cops, when knew when he was arrested what he was arrested for?
11. Opportunistic use possible, but it's been okay b/c no explicit promise of not using as in Doyle.
3. Contradiction
1. Generally
1. use proof that portions of a W’s testimony is factually incorrect to support a conclusion that other parts of the testimony were also false
2. Can try to impeach simply by showing that something W said is not so
3. Ordinarily accomplished by offering extrinsic evidence, whether through testimony of other Ws or physical evidence
2. Dual Relevancy Requirement – evidence is not admissible if its only relevance is to prove the witness wrong on some specific point of her testimony. The evidence must also be relevant for some additional reason, such as to prove a substantive issue going to the merits of the case or to prove bias, defect of capacity, or untruthful disposition of the witness [protects from “collateral”]
1. Evidence that contradicts but could have been used for other purposes, would have been independently relevant ⋄ admissible
2. Evidence that contradicts and has independent capacity to show something like bias ⋄ also admissible
3. Evidence that contradicts only ⋄ prob not admissible
4. If its only purpose is to present a contradiction and it doesn’t go to a core or material issue, doesn’t speak to another element of W’s credibility ⋄ deemed collateral and inadmissible
5. Courts more likely to deem contradiction collateral if it was raised for the first time by the cross-examiner – seems more likely to have been offered just to contradict
3. Procedures:
1. Not really mentioned in FRE.
2. FRE 403 and 611 can be read to govern and exclude contradiction on collateral points
3. Rule 611(b): Cross-examination should be limited to the subject matter of the direct examination and matters affecting the credibility of the witness. The court may, in the exercise of discretion, permit inquiry into additional matters as if on direct examination.
4. FRE 608(b) is inapplicable on this point, b/c only works when discussing witness' general character for truthfullness.
4. United States v. Havens (SCOTUS 1980, p. 667)
1. Facts: Two lawyers from IN have sideline importing narcotics from Peru. On one return, gov't catches one guy w/ cocaine in fake pockets in his t-shirt. Havens has made it past customs, but McLeroth (guy w/ t-shirt) rats him out and Havens' luggage is searched. On search, they find t-shirts that fabric was cut out of. H goes to trial and McL testifies against him. T-shirts seized are suppressed b/c there was no warrant for luggage search. Government offers suppressed evidence (a T shirt with holes) to contradict answers on cross (like Agnello)
2. Holding: Court says the cross was “plainly within the scope of the defendant’s direct examination.” This was XE “growing out of” the direct. Distinguishes from Agnello, where the impeaching XE had “too tenuous a connection” to the direct
3. Upshot:
4. Harder to restrict the direct evidence to avoid giving the government a “foothold” for asking a question on cross that it can then impeach with the suppressed evidence
5. Redefines the constitutional limitation so it offers no protection if the question is within the evidentiary limits on the scope of cross
6. Is there anything Havens’ lawyer might have done on direct to prevent a cross that enabled the government to introduce the suppressed evidence? [“Were you aware that McLeroth was carrying cocaine?”] Probably client just wouldn't testify.
4. Repairing Credibility
1. Generally
1. Once a witness has been impeached, the calling party may attempt to rehabilitate him.
2. Conditions
3. Repair must wait until the attack has come
4. repair should be made at the point of attack
2. Rebutting Impeaching Attacks
1. Rehabilitation Cannot Precede Attack – the calling party may not offer proof of “good character for truth and veracity” until the other side has attacked the witness in ways that suggest bad character.
2. Under FRE 608(a)(2), evidence of truthful character is excluded until “the character of the witness has been attacked” by opinion or reputation evidence “or otherwise.”
3. Can Anticipate Impeachment on Direct – anticipating an attack by laying the impeaching facts before the jury is proper and is often the wise strategy.
4. Preemptive Disclosures Usually OK-- bringing out on direct examination the points he expects the cross-examiner to raise. It’s ok on direct:
5. For any party to adduce testimony by his expert to the effect that she is being paid for her services
6. For the prosecution or the defense to bring out that its W has been convicted of crimes,
7. For the prosecutor to bring out that its W has entered into a plea bargain
8. For the proponent of the W to bring out any connection or affinity that she has with the W – cut off later bias attack, Acevedo v. State.
9. But CANT completely deprive the cross-examiner of the right to ask about impeachment information by asking about it first. E.g. "Remind me once again now, you said you have been twice convicted of forgery, is that right?"
10. Rehabilitation Must Respond to Attack
11. Need to respond to the nature of the attack specifically
12. The form and substance of the rehabilitation must correspond closely to the form of the attack or impeachment
13. United States v. Medical Therapy Services (2d Cir. 1978, p. 679)
14. Facts: Medicare fraud case in which primary witness for the gov't used to work w/ D.
15. Issue: how the matching of impeachment and rehabilitation actually works
16. Holding: She was witness for P. U.S. called her and introduced her prior convictions (pulled the teeth) rather than say nothing and let D bring it out But defendant also attacked her credibility. Doing so constituted an attack on her veracity (“or otherwise”) sufficient to permit the U.S. to call a character witness under 608(a).
17. FRE 608(a):
18. The credibility of a witness may be attacked or supported by evidence in the form of opinion or reputation, but subject to these limitations: (1) the evidence may refer only to character for truthfulness or untruthfulness, and (2) evidence of truthful character is admissible only after the character of the witness for truthfulness has been attacked by opinion or reputation evidence or otherwise
19. “or otherwise” can be impeachment by prior inconsistent statement.
3. Prior Consistent Statements
1. Generally
2. Evidence that a witness made prior consistent statements is sometimes admissible to rehabilitate or rebut the claim of inconsistency
3. Prior consistent statements can rehabilitate the witness if he is attacked on: a)poor memory; b)prior inconsistent statement; c) Express or implied charge of recent fabrication or improper influence or motive
4. FRE 608(a).
5. The credibility of a witness may be attacked or supported by evidence in form of opinion or reputation, but subject to these limitations: (1) evidence may refer only to character for truthfulness or untruthfulness, and (2) evidence of truthful character only after character of witness for truthfulness has been attacked by opinion or reputation evidence or otherwise
6. Admissible for Truth – these statements may also be admissible for truth
7. Thus, a statement qualifying under this rule may be received not only to rehabilitate but also for the truth of what it asserts.
8. NOTE: Tome indicates that if a PCS is offered for its truth, FRE 801(d)(1)(B) permits that use ONLY to rebut a claim of recent fabrication or improper motive AND (ii) the PCS must have been made BEFORE the motive to fabricate arose (even though the text of the rule does not contain a pre-motive requirement).
9. But does Tome exclude the use of PCS simply to rehabilitate and not for their truth (if so, the judge would give a limiting instruction)? NO-- lawyers continue to use PCS to rehabilitate even if these do not satisfy Rule 801(d)(1)(B) so long as the PCS is not offered for its truth, i.e., just to show that statement today corresponds to one made 2 months ago.
5. Forbidden Attacks
1. FRE 610 Religious Beliefs. Evidence of the beliefs or opinions of a witness on matters of religion is not admissible for the purpose of showing that by reason of their nature the witness' credibility is impaired or enhanced.
2. FRE 603. Oath or Affiliation. Before testifying, every witness shall be required to declare that the witness will testify truthfully, by oath or affirmation administered in a form calculated to awaken the witness' conscience and impress the witness' mind with the duty to do so.
1. B/c some religions forbid oaths, some sensitivity required here as well.
8. OPINION AND EXPERT TESTIMONY
1. Lay Opinion Testimony (691)
1. FRE 701. If the witness is not testifying as an expert, the witness' testimony in the form of opinions or inferences is limited to those opinions or inferences which are (a) rationally based on the perception of the witness, and (b) helpful to a clear understanding of the witness' testimony or the determination of a fact in issue, and (c) not based on scientific, technical, or other specialized knowledge within the scope of Rule 702.
2. Why this change from common law, where witnesses weren't allowed any “opinions” at all?
1. Old cases were very frustrating in the idea that lay witnesses should just tell the facts and not give their opinions or inferences. If a person is testifying to another person’s physical state and says, “He looked out of sorts,” that is obviously opinion. The witness is measuring physical cues against his experience of the subject over time and drawing conclusions about the change in subject. The judge would say, “Don’t use words like ‘out of sorts’ – give us the facts.” It is almost impossible.
1. Now, in civil cases, witness can be deposed and opposing side will know before hand what witness will say
2. witness can be XEd, and opposing side can show that witness is jumping to conclusions.
2. Under FRE701 a statement like, “He seemed sad” would be rationally based on the perception of the witness. It helps the jury because using strictly factual language to describe the subject until a month ago will give the jury less to go on than allowing the witness to testify to opinion. Estimates of height, weight or age are all opinion.
3. Hardy v. Merrill (693): Lay testimony should be admissible on unscientific questions arising every day.
3. Interpreting what another thinks or feels on basis of nonverbal behavior? (697)
1. When a witness observes firsthand the altercation in question, her opinions on the feelings of the parties are based on personal knowledge and rational perceptions and are helpful to the jury.
4. Limit speculation and guesswork as much as possible --
1. “What injuries did Amy and her mother suffer?” not okay, since he clearly doesn't have medical ability to diagnose this.
2. You can’t have lay opinion based on scientific or technical knowledge – lay witness can’t testify to chemical composition of substance, even if he’s an amateur chemist.
2. Expert Witnesses (699)
1. FRE 702 Expert Witnesses. If scientific, technical, or other specialized knowledge will assist the trier of fact to understand the evidence or to determine a fact in issue, a witness qualified as an expert by knowledge, skill, experience, training, or education, may testify thereto in the form of an opinion or otherwise, if
1. (1) the testimony is based upon sufficient facts or data,
2. (2) the testimony is the product of reliable principles and methods, and
3. (3) the witness has applied the principles and methods reliably to the facts of the case.
4. Generally
1. This allows lay jury to be assisted by expert who better knows what to look for. He doesn't have to be expert through education, can be qualified by experience.
2. “Assist a trier of fact to understand.”
3. Not limited to instances where you must call an expert – rather, can call expert when it would be helpful
4. Problems of specialization:
5. If you’re talking about one organ of the body, can you get a general practitioner? The more specific the better, because the expert will thus be more persuasive..
6. Also “skilled witnesses” -- i.e. bankers or landowners discussing land values, property owners discussing value of their holdings
2. FRE 703 Sources of Expert Knowledge. The facts or data in the particular case upon which an expert bases an opinion or inference may be those perceived by or made known to the expert at or before the hearing. If of a type reasonably relied upon by experts in the particular field in forming opinions or inferences upon the subject, the facts or data need not be admissible in evidence in order for the opinion or inference to be admitted. Facts or data that are otherwise inadmissible shall not be disclosed to the jury by the proponent of the opinion or inference unless the court determines that their probative value in assisting the jury to evaluate the expert's opinion substantially outweighs their prejudicial effect.
1. Firsthand knowledge
1. learned before the hearing – i.e. expert personally observes, examines, or tests the person, place, or person to be described in his testimony.
2. Facts learned at trial
1. Category unique to experts
2. listen to factual testimony and give opinion based on what you hear?
3. Outside Data
1. Also unique to experts
2. Rule 703: “of a type reasonably relied upon by experts in the particular field in forming opinions or inferences upon the subject”
3. Expert relying on certain assumptions. Lawyer will separately have to support in order to justify expert's opinion
4. necessarily experts rely on facts and data not mentioned at trial.
5. Doesn't matter if what expert relied on couldn't be seen by jury (no basis for introducing it).
6. Idea is that experts can distinguish b/t worthy and unworthy information, and should be able to consider whatever's common in the field, untroubled by evidentiary limitations of courtroom
4. Everything upon which an expert relies may not be admissible in evidence.
1. Facts or data that are otherwise inadmissible shall not be disclosed to the jury by the proponent of the opinion or inference unless the court determines that their probative value in assisting the jury to evaluate the expert's opinion substantially outweighs their prejudicial effect.
2. Experts in various fields have own standards of credibility. Fact that jury doesn't hear what expert relies on doesn't mean opinion can't be heard
3. jury can't find out what expert relied on unless this is actually admissible under evidence rules
4. BUT opponent of expert can choose to elicit otherwise inadmissable factual basis for opinion.
5. Proponent can't get it in unless under this “substantially outweighs” tests.
5. Expert must have own opinion
1. if has no opinion of own on the matter, and just parroting ideas of another, not serving any purpose (707)
6. Probably shouldn't rely on statements by interested witness (but see Elcona Homes)
3. FRE 705: Disclose of Facts or Data underlying Expert Opinion. The expert may testify in terms of opinion or inference and give reasons therefor without first testifying to the underlying facts or data, unless the court requires otherwise. The expert may in any event be required to disclose the underlying facts or data on cross-examination .
1. Expert may be required at XE to disclose facts or data underlying opinion. 703 +7-5 show that data underlying expert opinion doesn't come in as fact, but rather just to allow jury to scrutinize expert reasoning. (704)
2. Everything expert's written in the area will be read. Her testimony in other cases will be read.
3. But proponent could spend half hour going through credentials of the expert.
1. Then person against expert gets a chance to challenge the expertise – not likely to succeed if opponent doing a good job
2. one possibility is to challenge area of expertise – he's a car expert, not a tire expert. Doctor who is family practitioner shouldn't testify to surgery – must be expert in specific area pertinent to case
4. This can have effect of getting into hearing of jury information that rules of evidence wouldn't allow jury to hear, but lawyer elicits as basis for expert's opinion
1. “You concluded D is psychotic. Can you tell us why?”
2. And then psychiatrist goes through D's psych history, not otherwise admissible.
4. Formal Problems: Ultimate Issues, etc
1. FRE 704 Opinion on Ultimate Issue.
1. (a) Except as provided in subdivision (b), testimony in the form of an opinion or inference otherwise admissible is not objectionable because it embraces an ultimate issue to be decided by the trier of fact.
2. Ultimate issue is the jury's question – i.e., “is the car safe.” In common law, no one could testify to ultimate issue. But lots of relevant expert testimony addresses ultimate facts, and that's ok.
3. (b) No expert witness testifying with respect to the mental state or condition of a defendant in a criminal case may state an opinion or inference as to whether the defendant did or did not have the mental state or condition constituting an element of the crime charged or of a defense thereto. Such ultimate issues are matters for the trier of fact alone.
4. This is the “Hinckley Rule” -- psychiatrists could present and explain diagnosis, but not speak of legal or moral constructs
5. Presentation of Expert Testimony (712)
1. Qualifying the Witness
2. Bringing out expert opinion
1. can ask directly for “opinion or inference” of expert w/o prior disclosure of the basis (713)
2. At common law, and to some degree today, the facts upon which the expert relies can be provided through hypothetical questions. But this takes forever, and not required today. Proponent will only “establish the basis” if he wishes. For lay witness, have to establish personal knowledge. For expert, no. Why?
3. Frustration of hypothetical questions
4. expert can base opinion on outside info “reasonably relied upon”
5. Hypothetical questions
3. Reliability Standard for Scientific and Other Technical Evidence (620, photocopy)
1. Question: What is the standard for evidence offered as science?
1. What level of confidence should judge have in claimed area of expertise before letting expert before jury?
2. Good expert is very powerful – in complex matters, how does jury decide who to believe? Deciding based on instinctive trust, credibility of person
2. Standards (page #s to photocopy)
1. Frye (620): principle supporting the testimony must have been “general acceptance in particular field in which it belongs”
1. Judge is delegating responsibility for vetting expert to the field itself
2. How to measure general acceptance?
3. How determine particular field? Generally accepted in highly specialized part of bigger field?
4. Why didn't Ps like Frye test?
5. Too high a bar: Sometimes new principle develops, and hasn't had time for general acceptance. A new theory could have some acceptance, and have been shown to be predictable
6. standard was impediment to introduction of expert testimony
7. Defendants didn't like it either:
8. Under Frye, the P will claim that he has made out the foundation for the scientist’s testimony. Too much deference to scientists and not enough control by judge. Didn't think judge had enough power to exclude – wanted better gatekeeper than Frye.
9. “Junk Science” -- what happens if you get well-credentialed, apparently good expert up there, who's really just good at talking but not saying much?
2. Daubert v. Merrill Dow Pharmaceuticals (SCOTUS 1993, p. 621)
1. Facts: Children born w/ birth defects. Parents sue company alleging that defects result from mother's ingestion of anti-nausea drug.
2. Holding:
3. unanimous SCOTUS rejection of Frye, saying didn't survive FRE. FRE says nothing about “general acceptance”
4. judge must make the decision whether the proffered science is valid science under 104(a). What if there is no precedent, or the challenge isn’t to the theory of the science, but its application? There is a non-exclusive list of factors for the judge to consider:
5. New Daubert Factors:
6. Falsifiability. Has the science been tested? Can it be falsified?
7. Peer review and publication. Has the science been subjected to peer review and publication? If not, can include testimony explaining “how they went about reaching conclusions” and showing they “followed the scientific method as practiced by at least recognized minority” (640).
8. Rate of error. What is the rate of error? Are there standards for controlling the technique’s operation?
9. General acceptance. Has the science gained general acceptance? Here’s where Frye lives on – it is one of the tests, but is no longer the only test that the court considers for admission of the science
10. Judge's Role:
11. The only question under FRE is whether science is “reliable” and “relevant.” [Is the reasoning or methodology scientifically valid? Is it based in science as scientists understand it? Capable of predicting? (reliable)] [Can it be applied to the facts before the Court? Basically, even if the science is good, is it relevant here? (relevant)]
12. Under Rule 104(a): Judge decides by preponderance of the evidence whether the expert is testifying to scientific knowledge that will assist trier of fact -- does this science “fit the facts” of the case?
13. Judge makes finding that reliable and relevant, and it's in.
14. Note:
15. Downing factors (640): Types of error, existence of a professional literature appraising the process or technique, nonjudicial uses and experience with it, its newness and relationship to more established processes or techniques, and the qualifications of the witnesses. Daubert cites Downing with approval, so all of these can be considered. Also, as Breyer says in Kumho Tire, impossible to give a checklist because the various types of experts will differ.
3. Kumho Tire Company v. Carmichael (SCOTUS 632, p. 632)
1. Facts: Rear right tire of van has blowout, guy killed. Trial judge rejects expert who relied on visual inspection; appeals court overruled.
2. Question: Did the trial judge perform the Daubert test correctly?
3. Holding:
4. Daubert applies to all expert testimony, not just “science., don't worry about differentiating b/t “technical” and “science.” This was a Daubert decision for the trial judge to make, and judge made it.
5. Also, abuse of discretion standard to review trial judge. This cannot be abuse of discretion to refuse the testimony. If judge does homework, listens to both sides, explains rational reasons cogently, appellate court should accept regardless of what they would have done. Not de novo review – just whether proper procedures were followed, and conclusions rational.
6. Upshot
7. Daubert now extended to all technical evidence, including engineering, medicine, psychiatry, and economics. (640)
8. Pre-Daubert, more got in under Frye. Actually reduces scientific testimony. Now, a lot goes to weight still, but “admissibility” imposes incredible burden on trial judges to get up to speed on purported expert testimony.
9. Daubert and Kumho taken together tell judge “be careful, but we won't look too hard at what you do” (641).
10. When cutting edge science involved, trial judge determines issues of validity in pretrial hearing.
3. Modern Science in the Courtroom (740)
1. Toxic Tort Cases
2. Syndrome and Social Framework Evidence
1. Uses
2. Child abuse prosecutions
3. sexual assault trials
4. battered women
5. Generally
6. Purports to explain behavior beyond the understanding of lay jurors
7. Was there a rape? Why did the child deny the assault? Why does the woman who killed her husband meet the standard for self-defense?
8. shouldn't say whether child abused in particular case or if child's account is truthful or correct
9. Also, shouldn't say if particular person exhibits the syndrome (746)
10. Should syndrome evidence satisfy scientific validity of Daubert? (747)
11. yes, probably – if relies on common observation, no need for expert testimony.
12. If rests on knowledge only trained scientists have, it's science under Daubert.
13. Generally error to admit other types of psychological profile tests, etc (747).
9. BURDENS OF PROOF AND PRESUMPTIONS
1. Burdens and Presumptions in Civil Cases
1. Generally
1. Burdens are mostly statutory or judge-made (who has what burden)
2. Exception: burden of proof beyond a reasonable doubt is statutory
2. Pretrial Burden (Pleading, Pre-Trial Statement)
1. Burdens of pleadings are allocated to P and D – i.e. burden of pleading affirmative defenses almost always allocated to D
2. We may allocate to somebody the burden of pleading—the burden of injecting something into a case—without giving them the burden of proof on that issue. They just need to say it’s an issue. For example, in a criminal case, we make the D say, “Self-defense.”
3. Sometimes pleading burdens allocated out of concerns for process of pleading – i.e. to help the pleadings make sense.
3. Trial Burdens (Production and Persuasion)
1. Burden of proof =
1. burden of production (burden of going forward) (risk of non-production) &
2. the burden of persuasion (risk of non-persuasion)
2. Burden of Production:
1. As a general matter, a party has the burden of producing evidence whenever a finding against the party on a point would be required in absence of further evidence. Normally a party is assigned the burden of production with respect to the allegation it has made in its pleadings.
2. Party who bears burden of producing evidence runs risk of losing automatically (i.e. on motion to dismiss) if she doesn't offer evidence to enable reasonable person to find in her favor. i.e. assume the law in a particular state says plaintiff must prove each of the following in a breach of contract case: Agreement, consideration, performance, breach, damages
3. this is burden of production – introducing enough proof on each of these items sufficient to support jury verdict in her favor
4. Plaintiff puts in her proof. Either –
5. Her proof on each element could support a jury finding of fact (which by definition means she has meet her burden of production on these). Judge decides if a reasonable person could find each element proved by a preponderance (51/49 is the weight of burden)
6. OR (or) her proof on one or more elements could not support a jury finding of fact – case dismissed; never gets to the jury. In 2nd case, she failed in her burden of proof (production), didn't introduce enough evidence to persuade a rational person by the preponderance of the evidence. She can’t get past the judge, so never gets to burden of persuasion
7. Party who bears burden of production usually also has burden of persuasion BUT
8. Burden-Shifting:
9. If the party w/ burden of production carries very well, burden can shift to opponent. “Cogent and compelling” (769) i.e. if the breach of contract P put on an overpowering case such that the judge would grant a directed verdict if defendant did nothing, the effect is to put a production burden on defendant. Judge decides whether P has sufficient or cogent and compelling evidence
10. Requires the jury to believe P if there is no counter evidence by D
11. D has to offer enough evidence so that a reasonable jury could decide in his favor -- (If defendant rests without putting on evidence, plaintiff wins, thereby requiring – burdening – defendant to do something)
12. Affirmative Defenses
13. If there are affirmative defenses in the case – defenses on which the state gives the defendant the burden of proof – the same back and forth format plays out in reverse
14. D has burden of production, which judge will evaluate to see if “any reasonable juror could believe” -- i.e. defense of truth in a libel case
15. P doesn't have to plead this, but if D raises P must disprove
16. affirmative defense means D has burden of production and persuasion.
17. Fact Conceded
18. Sometimes a particular fact, whoever has the burden on it, is conceded and so established. No proof needed. Jury so instructed, issue eliminated.
3. Burden of Persuasion
1. Assume the proof is adequate to support a jury finding by a preponderance on each element (she met the production burden). Then the defendant puts on any case it wishes and rests. Then either
2. Case goes to the jury which will decide if plaintiff has met her burden of persuasion. She can win only if her evidence convinces the trier of the existence of the facts she needs in order to prevail.
3. (or) Judge decides that no reasonable jury can fail to find for P, in which case it does not go to jury – directed verdict for plaintiff
4. (or) judge decides that no reasonable jury could fail to find for the defendant - directed verdict for defendant
5. most frequently, case will just go to jury (once gone this far, they should usually have a case on both sides).
4. Reasons for Allocating Burdens
1. serve substantive policy, making it easier or harder for Ps to recover
2. recognize what it most probable
3. place on party w/ most access to necessary proof
4. in suit for damaged goods, D more likely than P to be able to show that something other than negligence is responsible.
5. help resolve cases where definitive proof unavailable
6. absence for 7 years = presumption of death
4. Presumptions: devices for shifting and allocating burdens
1. How presumptions operate:
1. If basic facts are proved by the required burden of proof, the presumed facts must be found to be true unless rebutted
2. i.e. operative establishment of basic fact mandates presumption of presumed fact
3. It is the mandatory nature of the presumption that distinguishes it from an inference -- “presumed fact”
4. A presumption is a procedural device that relates two factual propositions, so that proof of the first, basic fact is sometimes treated as equal to proof of the second, presumed/ultimate fact
2. Types
1. Conclusive or irrebuttable presumptions: more like substantive law – i.e. minor with black lung irrebuttably presumed to be totally disabled
2. Mandatory presumptions/presumption of law
3. Permission presumptions, inference, presumptions of fact
4. i.e. “res ipsa loquitor” which under certain circumstances, allows finding of negligence to rest on circumstantial evidence.
5. Prima facie case.
3. Basic Presumptions
1. Regularly addressed, mailed letter
Presumed: Received by addressee
2. Lawfully stopped vehicle rear-ended
3. Driver of second car negligent
4. Violent death, external means
5. Violent death, external means
6. Goods delivered to bailee in good condition and returned damaged
7. Bailee negligent, and negligence resulted in harm to goods
8. this is harpsichord problem
9. Employee in accident while driving employer’s car
10. Employee driving within scope of employment
4. Why do we have presumptions?
1. Puts burden on the person more likely to have the proof
2. recipient gets the mail, so he should have information
3. Probabilities
4. bailee has always had the goods, so more likely than not his negligence caused
5. violent death by external means probably accident
6. Helps Ps
7. i.e. employee on duty
8. Social policy
9. like presumption that child born to married woman is child of the husband as well -- this avoided illegitimacy
10. Resolve issue when no proof available (death after 7 years absence)
5. How Presumptions Work
1. A party will be allowed to establish its position about a disputed fact by introducing evidence on some other fact, instead of evidence that is explicitly about the disputed issue
2. Require the trier of facts to draw a particular conclusion when the basic facts are established in the absence of counterproof
3. Rationale: recurring situations in which it is hard to prove something that is normally true
4. Presumptions give the party they favor a boost, frees them from having to prove the presumed fact if they prove the basic fact and there is no rebuttal
5. However, of course, the party can still introduce direct evidence of the presumed fact (e.g., maybe the jury won’t find the basic fact to be true)
6. this would “buttress” your case – fact that you enjoy benefit of presumption doesn't mean you can't work w/ presumed fact directly
7. Presumptions reflected in jury charge (harpsichord question)
6. Reaction to Presumption
1. What if D has introduced evidence challenging the basic facts?
2. When the opponent seeks only to negative the basic facts (NBF), the instruction is the same. If you find these facts to be true, Acme's guilty. If not, they're not.
3. What if instead (or in addition) Acme has introduced evidence challenging the presumed facts? When the opponent seeks to negative the presumed facts (NPF), what? Move to Thayer v. Morgan debate.
7. Thayer v. Morgan: The “In-Between” Situation – opponent seeks to NPF.
1. Background
2. Bailed goods general presumption. If the bailor gives the goods to the bailee in good condition and they are returned damages, the presumption is that they were damaged due to negligence of the bailee. This is because the bailee has the goods in his possession and can better explain to trier of fact the reason for the damage. This is also a public policy to protect bailors.
3. Evidence introduced to counter the presumption. The bailee introduces evidence that the goods were destroyed because of an event that negates the bailee’s negligence – i.e. a flood, a crime.
4. Thayer (“bursting bubble”): The presumption shifts only the burden of production NPF to the opponent,
5. If the opponent meets a burden of production NPF the presumption is gone and is not reflected in jury instructions
6. The bailee has a burden of production NPF (negativing the presumed fact). Once the bailee does that the presumption disappears. We have not shifted to the bailee any burden of persuasion – just the burden of producing evidence that, if believed, could negative the presumed fact. Having done that, the presumption disappears.
7. Thayer would destroy the presumption even if no one believed the evidence NPF (i.e., didn’t persuade in fact) so long as it met the production burden (sufficient to support a finding if hypothetically it did persuade)
8. Thayer jury charge where opponent has meet the burden of production NPF: “If you find A, B, C, you may find D and E but you don’t have to. For this instruction, A B and C must logically support D; can no longer rely on the presumption”
9. Morgan “respect the presumption”: The presumption shifts the burdens of production and persuasion NPF to the opponent
10. If the basic facts are proved, the opponent should still have the burden of persuasion NPF.
11. “Everyone agrees that the basic fact is true [using facts themselves, not term ‘basic fact’]. You must find that the presumed facts are true unless the opponent of the presumed facts has persuaded you by a preponderance of the evidence that the presumed fact is not true.”
12. Morgan jury charge: “If you find A, B, C, you must find D and E unless opponent has persuaded you by a preponderance of the evidence that D and E are not true.”
8. Upshot:
1. Congress went w/ Thayer on FRE 301 Presumptions, agreeing that presumptions shift burden of production but not persuasion.
2. This probably shows more confidence in certain kind of litigants (e.g., not plaintiffs, since Ps usually the one helped by presumptions)
9. FRE 301 Presumptions in General Civil Actions and Proceedings. In all civil actions and proceedings not otherwise provided for by Act of Congress or by these rules, a presumption imposes on the party against whom it is directed the burden of going forward with evidence to rebut or meet the presumption, but does not shift to such party the burden of proof in the sense of the risk of nonpersuasion, which remains throughout the trial upon the party on whom it was originally cast.
1. 301 incorporates a shift only in the production burden and does not affect the persuasion burden
2. NOTE: In FRE 302 indicates that if case is governed by state jx, state rules on presumptions apply (presumptions can decide who wins or loses, so on Erie must go by state rule)
3. State law could be Morgan jx, in which case, presumption proponent's in luck.
4. So Thayer preference in FRE 301 might not really matter that much, except insofar as states have followed.
10. Texas Dep't of Community Affairs v. Burdine (SCOTUS 1981, p. 786)
1. P has burden of proving a “prima facie” case (prima facie case: facts that, if believed by the jury, will give rise to a presumption).
2. This is plaintiff’s burden of production: Judge decides whether a reasonable jury could find the elements of the prima facie case by a preponderance of the evidence (Whether the jury does make that finding – i.e., whether it is persuaded (and therefore whether the plaintiff has carried her burden of persuasion) – we cannot know until verdict)
3. prima facie case creates rebuttable presumption of discrimination
4. to dislodge presumption, D can introduce evidence satisfying production burden that decision was based on reason that was non-discriminatory. The proof must be “clear and reasonably specific.”
5. this sounds like more than just production burden – seems like D, to negative presumed fact (dislodge presumption) might have higher obligation than traditional production burden. We never require proof to be “reasonably specific”, only that it be capable of supporting the case of party w/ production burden
6. Once presumption rebutted by D, presumption is then gone (Thayer) and the plaintiff must rely on her original proof to support an inference of discrimination, perhaps coupled with proof that the defendant’s rebuttal evidence is pretextual.
7. Upshot:
8. Purports to be using 301 logic, but maybe not. Some think Court is on Thayer+, not quite Morgan, but more than Thayer.
9. Clearly, the Court wishes to give presumptions more respect than Thayer (“clear and reasonably specific”).
10. The Court may be treating the presumption here as having a greater benefit to the P – even when it’s knocked out, the policy of keeping it in the background as inference survives [evidence and inferences properly drawn from prima facie case may be considered by the trier of fact on issue of whether D’s explanation is pretextual.” Seems to say that even when presumption knocked out, basic facts remain in for whatever probative force they have.]
11. It’s fair to argue that the Court is giving the presumption weight because of the public policy behind Title VII and the difficulties of proving discrimination circumstantially.
11. St Mary's Honor Center v. Hicks (SCOTUS 1993, p. 793):
1. More or less a reprise of Burdine, and supports proposition that Court will allow prima facie case to get P to jury even if there is no presumption, after D puts on its case.
2. Suppose P seeks compensatory damages. If there were a jury, could the D win a motion seeking judgment as a matter of law? The answer is actually no – the D could not win the motion. We don’t know if it’s enhancing the presumption to be something more than Thayer in the context of Title VII cases.
12. Price Waterhouse v. Hopkins (SCOTUS 1990, p. 794)
1. The Court says that when you have direct proof of discrimination, we’ll impose on the D the burden of persuasion that it would have made the same decision even absent the discrimination.
2. Burdens, Presumptions, and Inferences in Criminal Cases (801)
1. Burden of Persuasion
1. Burden of proof is on the prosecution – need to prove every fact that is an element of the crime beyond a reasonable doubt
2. Burden of proof never shifts, except in some affirmative defense situations
3. In re Winship (SCOTUS 1970, p. 805): state has the burden of proving every element of the crime beyond a reasonable doubt (BRD)
1. BUT – state decides what elements of crime are, could take out element it doesn't want to prove. Opportunity for manipulation?
2. Yes, in a sense, but that’s what lawmaking is. There’s no constitutional law of substantive crimes – just procedural – political branch of gov't makes this decision
3. Is there any constitutional limit on how a state can redefine crimes?
4. The Cruel and Unusual Punishment Clause?
5. Is there a substantive due process limit on the state’s ability to define crimes?
6. People have suggested other limitations – i.e. Powell in Patterson – but hasn't caught on
7. Or is the issue entirely a product of the political process? Difficult for legis to redefine crimes beyond what people believe in.
4. Burden of Production
1. Prosecution burdens –
2. the prosecution is required to carry the burden of production with respect to each element of the charge. If it fails to produce evidence sufficient to support a jury finding beyond a reasonable doubt with respect to all elements, a motion for directed verdict of acquittal must be granted.
3. P must prove beyond a reasonable doubt every element of a crime
4. Presumption of innocence – device used to remind us of P’s burden, more than a fact, not actually presumption in same sense.
5. D burdens
6. Defendants do not carry a burden of production on defenses that negate an element of the charge
7. Just have to raise a doubt as to their satisfaction
8. Affirmative defenses: a defense that goes beyond negating an element of the charge and alleges new matter that mitigates or eliminates criminal liability.
9. The defendant can be required to carry the burden of production with respect to affirmative defenses.
5. Mullaney v. Wilbur (discussed in Patterson, p. 809)
1. Facts: Element of murder in ME was “malice aforethought.” Judge told jury that “Malice aforethought” would be “implied” (presumed) from a “deliberate act [done] suddenly…or without a considerable provocation.”
2. So to establish “malice aforethought” the state had to prove BRD that Wilbur acted “without…provocation”
3. Maine viewed ‘’malice aforethought” and “heat of passion” as “two inconsistent things.” Wilbur could defend by proving by a preponderance of the evidence that he “acted in the heat of passion, on sudden provocation.”
4. Holding:
5. This created presumption of absence of provocation (still an element of the crime) from the fact of the homicide alone, shifting the burden of proof on an element of the crime (provocation or its absence) to the defendant in violation of Winship.
6. Forcing Wilbur to prove provocation, rather than forcing state to show lack thereof, was violation --
7. this overlap b/t defense and definition of crime has effect of shifting burden of production to the D, could lead jury to believe that D has burden of proof. Winship requires state to prove every element of case beyond reasonable doubt --
8. Upshot:
9. Broad reading: state cannot create affirmative defense that overlaps w/ elements of the crime
10. Narrow reading: state can't create presumption of existence of element from proof of other elements of a crime (i.e. can't presume “without considerable provocation” from “deliberate act”)
6. Patterson v. New York (SCOTUS 1977, p. 801)
1. Facts: Charge is murder: “Killing a person intending to do so.” Affirmative defense: Extreme emotional disturbance (EET). D has burden of proof by a preponderance
2. D argument: this is violation of Mullaney, just a modernized version of “heat of passion” idea in Mullaney, and affirmative defense shouldn't overlap w/ elements of the crime
3. Holding: Court rejects P's argument, saying not like Mullaney, Elements of crime can co-exist w/ aff-d; just can't ask D to negative element of a crime.
4. Refusing to allow NY to give Patterson the burden of proving EET may lead states to reject the defense entirely rather than assume the burden of disproving them
5. Dissent:
6. A state may not give the defendant the burden of persuasion on a defense if a) The defense, if proved, results in a “substantial difference in punishment” or exoneration, if proved; and b) Historical treatment of the defense in Anglo-American law gives the burden to the state (possibly not true for insanity)
7. Basically, if you don't violate broad or narrow reading of Mullaney, do whatever.
8. Makes argument more palatable by saying “not as though state will have to prepare every defense that D could ever make – can require notice, and impose production burden.” State may give the defendant burden of production on these defenses – i.e. Patterson would have to introduce sufficient evidence to “justify a reasonable doubt upon the issue,” and then the burden of disproving the defense of extreme emotional disturbance would shift to the state BRD
9. Upshot:
10. worry that Winship just a paper tiger – as states are free to subtract elements of offense, and redefine penal law to make what used to be element of offense an element of defense, with burden on D (so long as elements of defense don't overlap w/ elements of crime, and so long as no presumption that one element of crime is proof of another element)
11. What's left of Mullaney? You can't have one element presumed if another is proved.
7. Insanity Defense
1. Leland v. OR: OR imposes on D burden of proving insanity beyond a reasonable doubt – Court actually upheld – proving elements of insanity D doesn't negative elements of crime that OR is proving – it's a separate thing. Leland hasn't been overruled.
2. Most states have “presumption of sanity” (816).
2. Presumptions and Inferences (820)
1. Generally:
1. Threaten jury trial right
2. Presumptions in crim cases can cause constitutional problems if they are seen as foreclosing the jury’s factfinding function too much
3. Undermines state’s burden of proof BRD
4. Instructions about permitted inferences are fine, as long as they leave the jury free to disregard the inference or conclusion suggested
5. Possible due process issues depending on the probative strength of the basic to prove the presumed facts
6. i.e. mandatory presumptions might impair the constitutional guarantee of a free jury trial
2. Specific concerns:
1. Improper jury instructions—misled on its prerogative to determine the facts or allocation of burden of persuasion?
2. “Double track” instructions—conviction only if BRD, but also suggest that D may be convicted on the strength of a presumption alone =jury may rely on a presumption to satisfy the BRD standard not allowed. US v. Romano (Instructions said that mere presence at a still was “sufficient evidence to authorize conviction” for being in possession or control of an illegal still.)
3. Logical relationship b/t predicate fact of a presumption & the conclusion
4. Question whether the fact supports an inference of the other BARD, or does it only make it look more probable than not, or even not reasonably support the conclusion. E.g. presumption fails b/c can’t satisify the preponderance standard. Leary v. US (striking down presumption that possession of marijuana → knew it was imported b/c much is grown domestically); Turner v. US (upholding presumption that possession of heroin → knew it was imported.)
5. Other Constitutional standards violated by crim. Presumptions:
6. Trial of guilt or innocence & Trial by jury—both arguably infringed by a legislative enactment prescribing that one facts supports a finding of another. Leary v. US
7. Privilage against self-incrimination presumption instruction may state that the basic fact permits a finding of the presumed fact unless the D gives a satisfactory explanation—arguably amounts to a comment about the failure of D to refute the invited inference by testifying. US v. Gainey
8. Presumption of innocence—inoperable w/ respect to any “presumed” fact.
9. Mandatory presumptions NOT allowed (Sandstrom), but permissive presumptions are OK (Allen).
3. Sandstrom v. Montana (SCOTUS 1979, p. 821)
1. Facts: Sandstrom definitely killed Jessen. Question is what type of homicide. He argues not purposely and knowingly, which is element of higher murder charge deliberate homicide (i.e. Winship). Sandstrom relied on a personality disorder aggravated by alcohol consumption to challenge proof of “purposely and knowingly”
2. Issue:
3. Jury charge that “the law presumes that a person intends the ordinary consequences of his voluntary acts.” Is this OK?
4. Sandstrom argues that this charge relieved the state of proving every element of the crime BRD
5. Montana says
6. only created a permissive inference (but that’s not what it says)
7. only gave defendant a small burden of production to produce “some” contrary proof (but that’s not what it says either)
8. What if the instruction did in fact shift only the production burden?
9. That could still result in a mandatory instruction on an element of the crime (“if you find X, you must find Y”). That’s how unrebutted presumptions work.
10. Or – just rebuttable presumption, where D can introduce some, any evidence tending to show not the case, and presumption goes away (in Thayer jx)
11. Problem comes up when D doesn't bring anything to rebut. Basically, State may not shift to D burden of production on element of offense if consequences of failure of production would result in presumption instruction to jury on element of offense.
12. Holding:
13. violates Mullaney, tells jury they can infer “purposely and knowingly” from fact of the crime itself. Relieves that state of a constitutional obligation.
14. Winship, Mullaney’s narrow holding: State enjoyed the benefit of the presumption from the fact of the killing
15. Upshot:
16. Mandatory/Conclusive/Irrebuttable presumptions are never OK in criminal cases.
17. Can give production burden on affirmative defense, as long as no overlap w/ element of offense (Patterson)
18. Or even overlap w/ an element of the crime but the state accepts the burden BRD to prove the element (Martin v. OH)
4. County of Ulster v. Allen (SCOTUS 1979, p. 829) (INFERENCE case)
1. Facts: Police make traffic stop, and see handguns in the car, sticking out of girl's handbag. Make an arrest, and then find other drugs and guns in car. All 4 occupants charged w/ possession of handgun.
2. Issue: NY has a law that says that all occupants in the car are presumed in “possession.” Question is what the standard is for instructive inferences [not presumption, but still when judge says it carries a huge weight – calling anything to jury attention carries huge meaning].
3. The trial judge, while using the word “presumption” or variants in his charge, told the jury it might “infer” such possession and that the presumption disappears when “substantial contradictory evidence” is introduced –
4. instructive inference, no mandatory language
5. Holding:
6. If inferred fact is more likely than not to flow from basic facts, judge can give the instructive inference
7. Stevens’ test for instructed inferences: Does the inferred fact “more likely than not” flow from the basic facts (very case specific).
8. Powell dissent:
9. Stevens would create inference in County of Ulster b/c so many facts aside from mere presence in car to support “more likely than not” nexus.
10. BUT -- Standard is too low because the jury might then rely on the inference as the sole basis to convict even though the nexus is not BRD. Lots of detail makes likely that everyone possessed the guns, but Powell says for all we know, the 10 facts you rely on to support were rejected by jury except guns in the car, and those 10 facts making more likely than not are now reduced to 1. For that, being charged only on fact of guns in the car.
11. inference could be heard by jury to say convict if more likely than not, while state burden is “beyond a reasonable doubt”
5. Upshot on Permissive Inference/Permissive Presumption
1. judge instructs the jury that among other inferences jury can consider this other one. OK under Allen (fact specific, if D does nothing, he won’t automatically lose)
2. Policy: impact of instruction? Jury may infer intent anyway, so may prefer limitation & reminder that don’t have to infer intent.
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